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COMMUNITY MANAGED DEVELOPMENT OF
WATER AND SANITATION IN
EARTHQUAKE AFFECTED VILLAGES
OF GUJARAT
Programme Proposal
for
WATER AND SANITATION MANAGEMENT ORGANISATION
GOVERNMENT OF GUJARAT
and
ROYAL NETHERLANDS EMBASSY
GOVERNMENT OF THE NETHERLANDS
December 2001
Appraisal and Formulation Mission for Earthquake Reconstruction
In the Rural Water Supply and Sanitation Sector in Gujarat
29 October to 21 November 2001
John Abbott - Sector Consultant
Sanjay Agarwal - Sanjay Aditya & Associates
Nishi Mehrotra - Social Expert
COMMUNITY MANAGED DEVELOPMENT OF WATER AND SANITATION IN
EARTHQUAKE AFFECTED VILLAGES OF GUJARAT
Programme Proposal
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Introduction
Sector Objectives
Programme Area
Need for Sector Improvements
Village Programme Approach
Development Programme
Community Managed Implementation*
Programme Support
Programme Organisation
Programme Operations
Programme Action Plan
Programme Costs and Funding
Monitoring and Reporting
External Advisory Services
Programme Communication
Issues, Constraints and Risks
Programme Justification and Conclusions
Recommendations
Appendices
LIBRARY IRCJO Box 93190, 2509 AD THE HAGUE
Tel.: +31 70 30 689 80Fax: +31 70 35 899 64
BARCODE: I 8
COMMUNITY MANAGED DEVELOPMENT OF WATER AND SANITATION INEARTHQUAKE AFFECTED VILLAGES OF GUJARAT
Programme Proposal
1. INTRODUCTION 11.1 Background1.2 Programme Purpose13 Programme Objectives1.4 Programme Focus1.5 Programme Scope1.6 Status of WASMO
2. SECTOR OBJECTIVES 32.1 Government of India2.2 Government of Gujarat2.3 WASMO's Mission2.4 Netherlands Government Assistance
3. PROGRAMME AREA 53.1 Description3.2 Water Resources33 Village Structure3.4 Administrative3.5 Environmental Risks
4. NEED FOR SECTOR IMPROVEMENTS 74.1 Pipe Water Supply4.2 Local Water Resources43 Sanitation and Hygiene4.4 Social Structure
5. VILLAGE PROGRAMME APPROACH 95.1 The WASMO Model5.2 Water Supply Security53 Village Hygiene5.4 Community Involvement5.5 Community Managed Development5.6 Programme Facilitating Support5.7 Coordinating, of Facilitation Support5.8 Sector Policy and Development
6. DEVELOPMENT PROGRAMME 126.1 Village Water Supply62 Environmental Sanitation and Hygiene Improvement63 Community Organisation6.4 Programme Development Process
1U
7. COMMUNITY MANAGED IMPLEMENTATION 217.1 Village Empowerment7.2 Partnership with the Community73 Community Management Methodology7.4 Performance Milestones7.5 Circumstances for Withdrawl7.6 Ongoing Autonomy
8. PROGRAMME SUPPORT 268.1 Purpose8.2 Programme Support83 Facilitating Support8.4 Implementation Support8.5 NGO Selection Criteria8.6 Training Requirements
9. PROGRAMME ORGANISATION 329.1 The Programme9.2 Village Community93 Community Support9.4 Implementation Coordination, Monitoring and Support9.5 Programme Coordination and Policy9.6 Programme Support
10. PROGRAMME OPERATIONS 4610.1 Functional Simplicity10.2 Planning103 Procurement10.4 Financial10.5 Personnel and Administration
11. PROGRAMME ACTION PLAN 5311.1 Programme Approach11.2 The Action Plan113 Programme Establishment11.4 Phase One Implementation f11.5 Phase Two Implementation11.6 Repair and Reconstruction
12. PROGRAMME COSTS AND FUNDING 6112.1 Programme Costs12.2 Programme Funding123 Advance of Funds
IV
13. MONITORING AND REPORTING 6413.1 Significance13.2 Community Managed Information.13.3 Management Information System13.4 Performance Accountability13.5 Fund Flow Monitoring13.6 Programme Reporting13.7 Programme Review
14. EXTERNAL ADVISORY SERVICES 70
15. PROGRAMME COMMUNICATION 71
16. ISSUES, CONSTRAINTS AND RISKS 73
16.1 Issues16.2 Constraints16.3 Risks
17. PROGRAMME JUSTIFICATION AND CONCLUSION 7717.1 Justification17.2 Conclusion
18 RECOMMENDATIONS 79
Appendices
Tables
Table 3.1 Numbers of Earthquake Affected Villages
Table 4.1 Water Supply Status in Programme Villages
Table 8.1 Responsibilities of NGO Programme Staff
Table 8.2 Programme Training Needs
Table 10.1 Functional Independence of Programme Groups
Table 11.1 Programme Establishment Tasks
Table 12.1 Programme Costs
Figures
Figure 9.1
Figure 9.2 •
Figure 10.1
Figure 11.1 A
Figure 11.1B
Programme Organisational Relationships
Community Support System
Flow of Programme Funds
Programme Action Plan (Establishment and Phase One)
Programme Action Plan (Phase Two)
Appendices
Appendix 1
Appendix 2A
Appendix 2B
Community Management In-Village Process
Phase I Costs
Phase II Costs
Abbreviations
ADB
CMSU
EAS
ESC
GOG
GOI
GON
GWSSB
IEC
MIS
NGO
^ RNE
&: WASMO ....
Asian Development Bank
Coordination, Monitoring and Support Unit
External Advisory Support £***•t- <±*s
Engineering Support Cell
Government of Gujarat
Government of India
Government of Netherlands
Gujarat Water Supply and Sanitation Board
Information, Education and Communication
Management Information System
Non-Government Organisation
Royal Netherlands Embassy
Water and Sanitation Management Organisation_ VI
1. INTRODUCTION
1.1 Background
The northeast of the State of Gujarat was subjected to a severe earthquake of magnitude 6.9 onthe Richter scale on the 26th of January 2001. There was substantial loss of life and damage toproperty and infrastructure in the district of Kutch and to a lesser extent in the adjoining districtsof Jamnagar, Rajhot, Surendranagar and Patan. Some 1340 rural villages received some damage,with housing in some villages largely destroyed. There was also considerable damage to pipevater supply systems including in-village pipe and some traditional water supply systems. The
ueea for a substantial overall reconstruction was evident.
This event coincided with the recent introduction (1999) of a sector reform programme for RuralWater Supply by the Government of India with Guidelines for community based demand-drivenimplementation of rural water supply programmes issued by the Rajiv Gandhi National DrinkingWater Mission in August 2000. The Government of Gujarat is participating in this programme,with three districts nominated in which to start the programme. It also coincided with thedecision in March 2001 to establish a Water and Sanitation Management Organisation(WASMO) to facilitate decentralisation in the Gujarat water and sanitation sector (GovernmentResolution No. VWS/2096/2390/Kh-3). WASMO will focus on the setting up and managementof local water supply systems. It will function in a largely autonomous manner, operationallyindependent of the Gujarat Water Supply and Sanitation Board (GWSSB). These events haveinfluenced the approach to water supply reconstruction in earthquake affected villages.
Reconstruction (and augmentation) of regional bulk water supply works has been organised andis to be implemented by GWSSB with Asian Development Bank loan funding in the affectedarea. It is intended also that local communities, with the facilitating guidance of WASMO, willimplement in-village water supply (and sanitation) reconstruction. The Netherlands Governmenthas been requested by the Government of Gujarat to support and finance in-villagereconstruction through WASMO.
A short-term Appraisal and Formulation Mission was fielded to appraise available informationabout the extent of earthquake damage to village water supplies and formulate a Programme tobe implemented by WASMO for in-village reconstruction. This proposal is the product of thatMission.
1.2 Programme Purpose
The purpose of this Proposal is to provide the framework of a Programme that can be furtherdeveloped and implemented for the reconstruction and development of water and sanitationfacilities in earthquake affected rural villages of Gujarat. A specific requirement is how to get theProgramme underway quickly.
13 Programme Objectives
The proposed Programme objectives reflect both reconstruction and recent sector reformexpectations:
Primary Objectives• Reinstatement of water supply to earthquake affected villages• Provide for seasonal security and conservation of water supplies with an integrated
combination of pipe and local traditional water sources.
• Provide for more hygienic household and community environments with sanitationimprovements and increased hygiene awareness in communities.
• Community managed implementation of water supply and sanitation improvements withsupporting community capacity building and empowerment.
• Provide institutional facilitating support for the community management of improvementsthrough independent support agencies such as NGOs (with WASMO assistance).
• Ensure that all community groups including Women, are able to participate in decision-making processes and benefit from programme improvements.
Secondary Objectives• To demonstrate and establish an effective facilitated community managed implementation
model for water and sanitation improvements in rural villages in Gujarat.• To establish a supporting streamlined largely autonomous organisational model with
relatively simple but effective administration and operational systems.• To demonstrate the benefits of multiple sources for water supply security using integrated
community managed solutions.• To encourage and assist communities with the conservation and best use of local water
resources including the effect of irrigation abstraction on ground water levels.• To build on existing local experience and practice to the extent this supports the primary
objectives of the Programme.
1.4 Programme Focus
The scope of the Programme was originally foreseen to be the reconstruction of damaged watersupplies with judicious augmentation of capacity in earthquake affected villages of Gujarat.From review of the extent of damage reported and reconstruction works proposed, the Appraisaland Formulation Mission concluded that reconstruction was a secondary componentImprovement and augmentation of undamaged facilities was the greater proportion of the workproposed by Government of Gujarat (GOG). For this reason, the Mission recommended that thefocus of the Programme be changed to the "Augmentation and Development of Water andSanitation in Earthquake Affected Villages in Gujarat". The title of the Proposed Programmeincorporates this change of focus.
1.5 Programme Scope
The Programme has been formulated to ultimately cover all 1340 earthquake affected villages inGujarat However, the formulated Programme is subject to significant timeframe and capacityuncertainties by virtue of the very nature of the Programme. This situation is met by proposing aclearly defined first phase — a 'learning phase'.
The Programme has a specific in-village focus for improvements. This involves the integratedcombination of pipe and local water resources for water supply together with sanitationimprovements considered necessary by village communities. The scope of the programme willalso include village capacity building and empowerment with institutional strengthening oforganisations providing facilitating support to the Programme.
1.6 Status of WASMO
Government Resolution for the establishment of WASMO is dated 23 March 2001. Sincethen, approval: for WASMO has been in process. The Memorandum of Association for WASMO** presentl^wjt^^e^Ooyernment of Gujarat's department of Finance awaiting final approval.
... v^a,™,-,-^ wiU be foHowed by registration of WASMO as a society to enable its autonomous function,ras is eJqpecied bv 3lTJccember 2001.
2. SECTOR OBJECTIVES
There is compatibility between the sector objectives of the key institutions involved in orsupporting the Programme. The Programme has been formulated with reference to these.
2.1 Government of India
The national implementation guidelines for rural water supply programmes include the followingelements.
• Demand-driven empowerment of villagers for their full involvement in water supply (andsanitation) improvements with a focus on village level capacity building
• Streamline the functions of agencies involved in project facilitation and implementation• At least 10% capital and 100% operational cost sharing by users• Use of conservation measures to sustain the supply of water.
2.2 Government of Gujarat
The Government of Gujarat supports the central sector reforms emphasising the importance of:
Maximal conservation and utilisation of local water resourcesImproved water use efficiency, particularly in the agricultural sectorAppropriate pricing and recovery mechanisms for all usersResponsiveness to people's involvement in planning and implementation of water supplyParticipation of people, particularly women, in the management of water supplies and indecisions about water use and allocation.
These features reflect the movement of responsibility for rural water supply and sanitation fromthe State to the Panchayat Raj Institutions and in particular the Gram Panchayat and itsfunctional sub-committees.
23 WASMO's Mission
The mission for WASMO is presented in the preamble and resolutions of GovernmentResolution (No. VWS/2096/2390/Kh-3) providing for the establishment of WASMO and furtherelaborated on, with the objects of the Memorandum of Association for WASMO (in the processof being finally approved). WASMO's mission incorporates the recent sector reform changesand in particular in relation to this Programme proposal, provides for:
• The facilitation of decentralised community managed implementation of in-village watersupply and sanitation improvements
• The provision of capacity building for stakeholder groups in water supply and sanitationactivities and encourage communities to become involved
These activities are additional to the more general object of supporting and encouraging sectorreform and development within the State.
2.4 Netherlands Government Assistance
The Government of Netherlands (GON) has recently made a policy shift from project orientatedassistance to a programme sectoral approach with a view to improved quality, effectiveness andsustainability of assistance provided Netherlands support for WASMO with its sectoraldevelopment objective is directly compatible with the policy redirection of GON. This
Programme proposal reflects this with its intended alignment under WASMO and its programmestructure in accordance with the decentralised intent of WASMO.
The Programme proposes an implementation methodology specifically based on communitymanagement with facilitating institutional support. This is a new sectoral approach to rural watersupply and sanitation development on a programme scale and as such, represents a significantopportunity to 'learn' for sector benefit. It is essential also that the lessons of other NetherlandsAssisted Projects and the Ghogha project in particular, are recognised and problems of the pastavoided1.
Management Organisation, Government of Gujarat, June 2001
3. PROGRAMME AREA
3.1 Description
The Programme is proposed to cover all villages affected by the earthquake in the nine talukas ofthe district of Kutch and those affected in selected talukas of adjoining districts of Jamnagar,Rajkot and Surendranagar to the south and Patan to the east of Kutch. The Government ofGujarat has identified a total of 1340 villages in the affected are of which 1260 are inhabited.This is the number (1260) is the number of villages adopted for the proposed Programme. Table3.1 shows the distribution of Programme villages between districts and talukas.
Table 3.1Numbers of Earthquake Affected Villages
Number of VillagesDistrict Taluka TpteLJIninhabited ProgramKutch
T
Rajkot
JamnagarSurendranagar
Patan
BhujAnjarBhachauRaparMundraMandviLakhpatAbdasaNakhatranaMaliaMorbiJodiaHalvadDhragandhraPatdiSayalaWadhawanMuliSantalpur
Total All Villages
1587571976090
10016513247
12151241636
147
103
1340
1463-22
151813
-61--
-
-
80
144696897588885
14711947
11550241636
147
•o3
1260
Land use in the Programme area is a mix of irrigated crop farming, especially in the south, dryland grazing over much of the semi-arid Kutch district together with saline coastal areas.
3.2 Water Resources
The water resource situation is described in detail elsewhere2. In summary, the Programme areais characterised as semi-arid with the availability of renewable freshwater being rated as'absolutely water scarce' with an average of only 370 m3 per capita per annum. Rainfall ischaracterised by a low number of days (around 25 per year) of high intensity rain resulting inhigh runoff rates, especially in Kutch with its rocky terrain. Annual rainfall varies greatly withdroughts common and typically once each decade, in consecutive years.
Report OR Assessment of Damage and Reconstruction of the In-viltage Drinking Water and Sanitation Systems inthe Earthquake Affected Areas of Gujarat, Institute of Rural Management, October 2001
'• •*fr>m,T*?;*VMi.\;rr"}'m*?. ••
Ground water is now scarce in the area due to low water table levels, primarily due to excessiveirrigation withdrawal. In coastal areas, saline water intrusion is common. Open wells and tubewells are frequently seasonal, either running dry or becoming saline during the driest months.
33 Village Structure
Villages in the Programme area typically involve compact housing with less advantaged groupsliving toward the periphery of villages. In Kutch district, villages often comprise severalscattered clusters of house with the occupants of each cluster belonging to the same social group.Village sizes typically range between 1000 and 3000 population.
The village social structure is based on caste/class hierarchies, which frequently leads to theexclusion of disadvantaged groups (Muslims Kolis, and Harijans) and women also in decisionmaking and in accessing and controlling water resources and facilities. Influential men with themeans and voice typically take up the leadership in villages. They are typically members of thePanchayats, managers of the Pani Samitis and regulators of the norms and traditions in thevillage. They are the opinion leaders, managers and financial controllers of the money andinformation flow in the villages.
Where NGOs are working, particularly with women's groups, such as SEWA and MahilaSamakhya in Surendranagar and Rajkot districts, the informal leadership of community womenhas emerged. There are groups constituted by women from marginalised castes/groups - Kolis,Harijans, and Muslims. The women's groups from these communities have formed collectivesand gained increased self-reliance and access to water. This reflects their concern andresponsibility for fetching, storing and managing household water. The social structure evendetermines which caste of women is able to fetch water or not. This makes it very difficult forsome women to be in a Pani Samra' or as a Sarpanch.
3.4 Administration
Villages are part of the Panchayat Raj Institution with the Gram Panchayat at village level, theBlock Panchayat at taluka level and the District Panchayat The administrative panchayat systemis not presently supported by elected panchayat members due to the extended delay in carryingout panchayat elections. Panchayat elections are now due to be held in December 2001..
/ | Pani Samiti will provide the primary focus for the Programme for which an elected andI functional Gram Panchayat will be necessary.
3.5 Environmental Risks•:.:•> i t ' i * V - . i ' ^ - ' ^ • • ' • : • • • : • ' " • " •
A feature of the Programme area is its susceptibility to earthquakes and drought. There havebeen earlier severe earthquakes. There is need for implementing strategies to reducesusceptibility to earthquake damage with appropriate structural design and/or by the use ofmultiple facilities to spread the risk and provide functional security. In a similar way, droughtresistance can be provided by establishment of a single reliable water supply or more desirably,with the establishment and integrated use of multiple sources.
T ~ " -
4. NEED FOR SECTOR IMPROVEMENTS
4.1 Pipe Water Supply
Most villages in Kutch and many in other Programme areas are presently connected to regionalpipe supply or have a local single village/panchayat pipe supply, typically from a local tubewell.There are a few cases of three, four or five villages having a common tubewell source. With theadvent of the ADB funded earthquake reconstruction water supply programme using NarmadaDam water, a greater number of villages will be connected to regional schemes. The existingstatus of water supply in Programme villages is summarised by Table 4.1.
Table 4.1Water Supply Status in Programme Villages
District
Kutch
Rajkot
JamanagarSurendra-nagar
PatanTotals
Inhabited
Taluka
Bhuj.Anjar: BhachauRaparMundraMandviLakpatAbdasaNakhatranaMaliyaMorbiJodiyaHalvad
No. oftillages
1587571976090
10016513247
1215124
Ohragandhra 16PaladiSayalaWadhawanMuliSantalpur
Totals
36
147
1031340
1260
RegionalPiDe WS
116646277254377
12574477934
-51---
103932
932
VillagePine WS
2656
173145
22142
-3616241126
147-
311
311
Local NonPipe WS
2-
32_613__
-
-
-17
17
UninhabitedVillaees .
1463-22
151813
-61-- •
-
-
-
-
-
80
A survey of earthquake damage to village water supplies done by GWSSB and verified byselected NGOs3 established that some in-village water supply structures and pipelines had beenseriously damaged and would need reconstruction. However, the Mission noted that manyfacilities were reported to be less severely damaged and concluded from field observations that asignificant proportion of these facilities may be temporarily repairable (one to two years)enabling some pipe water supply to these villages during the coming dry season. A quick 'kickstart7 repair programme Iia* been formulated with this objective in mind.
Villages in Kutch are more dependent on regional water supplies provided by GWSSB.However, these supplies have been and continue to be irregular (up to 3 days wait), especiallyfor tail-end villages. Service is typically worst during the driest months before the monsoon and
3 Report on Assessment of Damage and Reconstruction of the In-village Drinking Water and Sanitation Systems inthe Earthquake Affected Areas of Gujarat, Institute of Rural Management, October 2001
droughts when demand and need are greatest. At these critical times many villages rely on costlytanker supply provided by the Government. Due to difficulties of power supply and otheroperating and institutional factors, there is no certainty that the problems of inconsistent supplywill not continue in future years, even after the ADB funded augmentation of regional pipesystems is complete. The target for this is the end of 2003.
The NGO survey also reported that in many villages the people identified the need for greaterstorage (partly a function of the irregular supply) and the need for additional, more convenientlylocated standposts. The need for alternative water supply sources to supplement the irregularpipe supply and provide for greater security of supply was also recognised.
4.2 Local Water Resources
Local sources of water are actively used in villages when these are physically and seasonallyavailable. In some villages, 'sweet' open well water is preferred for drinking because of its taste,although this often dries up later in the season. In other villages, tank water is used for washingand cattle watering. Similarly, when available, riverbed water is accessed. Village people areconcerned to .protect and conserve these traditional sources as supplementary supplies. SeveralNGOs are already working in Programme villages with the rehabilitation of traditional sourcesand the development of rainwater harvesting and other water conservation measures. It is notedhowever, that the potential for such measures varies considerably within the Programme areawith less opportunity in the driest parts of Kutch and those coastal areas with saline groundwater.
4.3 Sanitation and Hygiene
Sanitation was found to not be a particular concern of villages. There are presently very fewsanitation facilities in villages. The dry semi-arid conditions for much of the year dnrv, heilp tolimit the adverse effects of lack ot' sanitation. Although the lack of regular pipe supply helps toreduce household wastewater drainage problems, the lack of drainage around standposts andcattle troughs is a particular problem. It is important to recognise however, that improved pipewater supplies do result in greater quantities of wastewater with the potential to generatesignificant additional household and village drainage problems. There is a reported need forimprovement in the general hygiene of households and the village environment together withincrease of overall hygiene awareness and the health significance of this. May be experiences inGhogha (Mr Himanshu Parikh) on wastewater disposal and treatment can be part of the approachin this programme also.
4.4 Social Structure
Improvements to both in-village water supply and sanitation are needed to enable all social andcultural groups in villages to have adequate access to and use of facilities. That some groups arepresently disadvantaged was earlier noted. Appropriate community organisation and design andlayout of facilities are required
. , : . J . - •
5. PROGRAMME APPROACH
5.1 The WASMO Model
The primary reference for Programme formulation has been the 'Mission Statement' forWASMO together with the government sector reforms that the model originates from. The twokey features that have been incorporated into the Programme design are:
• Corr-iMnir. .,:.-r.aged implementation of in-village water and sanitation improvements withvillage communities fully involved in and responsible for all stages of this process.
• Institutional Facilitating Support for the development of management capacity withincommunities receiving Programme support.
Application of these features will enable decentralisation of the water and sanitation secror to beachieved within the context of the Programme involving the transfer of 'ownership' andmanagement to the village/panchayat community. The Programme has been formulated inaccordance with this objective.
The WASMO Model was derived on the basis of experience with the Netherlands AssistedProject in Ghogha, Gujarat4. This project is striving hard to achieve its objectives. The lessonsleamt lead directly to the formulation of the approach of the WASMO Model. However,notwithstanding the adverse experience with Ghogha, thisjir^grarnme has the jjotential tobeneficially refer to the positive aspects of the project an&aeiectivelv 'borrow' froinsome of thesub-systems and processes developed. ( . V_—--
5.2 Water Supply Security
The need for thfe security/of village water supplies and facilities is emphasised. This involvescontinuity and SBCurityof supply with built-in drought resistance for villages from the integrateduse of mujtiple sources (when available) and to a lesser extentTwith choice and designjf^
structures and facilities for earthquake resistance. For both, flexible nlanning and design isrequired. Provision of a minimum secure supply of drinking quality will be supplemented withother sources of lesser quality for alternative uses.
S3 Village Hygiene
The need for an acceptable level of overall hygiene for household and village environments willbe supported with community managed sanitation improvements. This will be coupled tohygiene awareness promotion within villages and hygiene education for improved managementof household water and waste management hygiene. The underlying requirement will be tostimulate better understanding of the significance of improved village hygiene with afundamental shift in attitudes to better sanitation and improved hygiene practices within-v.rrr- ;;ies. The development of community based enterprise for the provision andimplementation of sanitation improvements is to be encouraged and fostered.
5.4 Community Involvement
The Programme will target the whole village community involv: g all groups and both genders.With the existing limitations of village social structure, it is necessary that there be trulydemocratic involvement of all, without the exclusion of peripheral and/or marginalised groups.This means including the 'voices' and needs of the 'voiceless' while ensuring room for their
The Ghogha Experience, Water and Sanitation Management Organisation, Government of Gujarat, June 2001
10
unequivocal participation during all stages of the in-village community management process.Theneeds and priorities of community women as the most affected target groups, will be givenspeSaTfsSPS- Tliis will iiiduUeTfieir active involvement in the organisation and activities ofvillage level institutions like the Pani Samiti.
5.5 Community Managed Development
The Programme aims to build on the existing inherent capacity of community members tomanage their private businesses (largely agricultural) and personal affairs. It will assist villagecommunities with the development of a more structured panchayat related organisation whererequired. It will also guide them with the development of additional expertise and capacity toenable them to develop, implement and manage their own integrated water and sanitationimprovements. For this the Programme will need to gain the confidence of village communitiesand establish a supportive "partnership" based on mutual trust.
The establishment of community managed development capacity within villages will involve thefollowing features:
• Understanding existing local perceptions of water and sanitation as the starting point for aconsultative process for change and improvement within villages.
• Sharing information about existing and alternate systems and the respective advantages anddisadvantages of each in the villagej^mtext. ^ ^
• Stipportng-ttHnmuniries with theplanning^nd design^ef water and sanitation improvements
lopment of capacity within communities for the organisation and management of theconstruction and subsequent operation and maintenance of water and sanitationimprovements.
• For these roles, communities will need to develop and enhance existing management abilitiesinvolving simple but appropriate operational and financial procedures, together with meeting,documentation, reporting and monitoring skills.
• Enhance the capacity for communities to initiate village level development initiatives andfollow them through without future support.
• Encourage the sharing and management of water supply systems and local water resourcesbetween village clusters, between villages where appropriate and with the agriculture andirrigation sector. This could involve the development of autonomous federations of villagesfor water conservation and management.
5.6 Programme Facilitating Support
The establishment of effective community management capacity within villages will involvefacilitating Programme support. The WASMO concept provides for this. It is proposed that thedemonstrated capacity of NGOs be mwri to provide facilitating support to communities. Th~eNGOs will have no direct implementation responsibility - that being with each villagecommunity. For this, NGOs would be required to:
• Ensure that village communities understand the community management concept andProgramme methodology,
• Organise themselves appropriately to enable their involvement in the Programme, andSupport the community, managed implementation of village water and sanitationimprovements and the subsequent functional operation and management of improvements.
provisionof facilitating support will involve NGOs in assisting community groups and Pani
11
• Be aware and understand the principles, perspective, approach and methodology of theProgramme
• Ensure they have a good understanding of the concept, benefits and requirements for theintegrated management of water resources and sanitation
• Develop the capacity and skills needed fay communities, including women, for the planning,implementation, operation and financial management of water and sanitation systems andstructures.
• Be able to review, supervise and monitor all Programme activities in villages using tools andmethods developed for the Programme.
• To network with other Pani Samitis and groups and liase with other development relatedorganisations on issues concerning water and sanitation management.
• To become involved in local water issues, lobby for the interests of water conservation andpromote policy reforms from the village/panchayat perspective.
5.7 Coordination of Facilitation Support
Facilitation support to communities will involve a number of NGOs in the Programme. For thisit will be essential that a common overall Programme approach and methodology be accepted
will occur and~"wiH-be accepted as an important part of the Programme learning process -feedback of experiences and lessons.
WASMO Head Office will be responsible for this coordination through development ofProgramme facilifrtinn guidelines, appropriate operational procedures and monitoring systems.WASMO would mostly exercise their coordination responsibilities through district levelCoordination, Monitoring and Support Units (CMSU) established for the Programme.
5.8 Sector Policy and Development
The Programme will be implemented as only one of WASMO's wider sector responsibilities andactivities. In this respect however, the Programme's application of the innovative concept ofdecentralised facilitated community managed development of community water and sanitationwill be a valuable source of experience and lessons for the sector. It will be important that theProgramme is not implemented in isolation. This will be an essential responsibility tor W ASMU.
* • < * » •
12
6. DEVELOPMENT PROGRAMME
6.1 Village Water Supply
The Programme addresses the full range of possible water sources for each village. This caninvolve pipe supply from a GWSSB regional scheme, a local panchayat managed pipe supply,open village wells, village tanks and other lesser sources. An integrated solution involving allrelevant sources is sought
6.1.1 Improvement Objectives
Specific objectives for improvement of in-village water supplies have been formulated withconsideration for the difficulty of maintaining a consistent pipe supply to programme villages,the overall scarcity of water in northern Gujarat, the availability of local traditional sources for atleast part of the year and the ongoing risk of future earthquakes. The objectives proposed are to:
• Re-establish a minimum supply of water to earthquake affected villages where possible forthe coming dry season (i.e.: minimise dependence on tankers)
• Provide a minimum secure all year ('drought resistant') in-village pipe supply of goodquality water for essential needs (ie: drinking, cooking, basic health)
• To the extent possible, provide additional supplementary all year in-village water supplyfrom pipe and/or local traditional sources for all other needs
• Ensure equality of access for all social groups to in-village pipe supplies and local sources.• Provide for the conservation of energy, control and conservation of water use, avoidance of
drainage problems from excess wastewater and optimise operation and maintenance costs tobe met by village communities.
6.1.2 Improvement Components
The Programme's integrated approach to in-village water supply improvement involves bothpipe supply and local traditional sources. Specific components are:
Pipe Supply• Repair of less damaged in-village facilities as an interim solution• Reconstruction of severely damaged facilities - same or alternative in-village sites• Augment the capacity of reconstructed facilities• Provision of additional new in-village facilities• Provision of replacement sources/facilities for drought security
Local Traditional Supply• Repair of damaged facilities used by villagers (e.g.; open wells for drinking water)• Rehabilitation and augmentation of existing traditional water sources (e.g.: tanks)• Development of alternative water resource sources (e.g.: covered wells, checkdams,
groundwater recharge, surface water catchment developments, rainwater harvesting etc)
6.1.3 Planning Concepts
The following planning concepts are proposed to enable water supply objectives to b? met and inparticular, to secure village water supplies. The benefits of a flexible approach are emphasised
) • Avoid reliance on single sources of supply to the extent possible in each village• Apply an integrated village level water resource management approach with multiple source
development in each village
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I * Facilitate investigation of the capacity and security of supply from local traditional sources:• Apply a two level design process for water supply capacity providing for:
Minimum all year supply (40 lpcd) - from most secure sources of good quality water foressential usesSupplementary supply (+30 lpcd) - from less secure sources for other uses (if necessary, oflesser quality)Total village supply - 70 lpcd.
I* Design facilities for the benefit of whole village communities, with household connections
given secondary priority• Identify and adopt system and component designs that will minimise the risk of water supply
' disruption due to structural damage in the event of a future earthquake.
6.1.4 Design and Implementation Approaches
The design approaches proposed incorporate the above planning concepts while being mindfulthat implementation of improvements will be community managed with the need to avoid unduecomplexity.
Interim Repairs
It is proposed that partially damaged existing in-village pipe (and traditional) facilities berepaired to the extent possible to re-establish minimum supply for the coming dry season. Morepermanent solutions with connection to augmented regional pipe schemes and/or local pipesources will follow in due course. The repair process would need to start as early as possible tomaximise potential benefits for villages during the coming dry season.
It is proposed that up to six Repair Teams be organised to visit Programme villages that couldimmediately benefit from repair work. A value of 300 villages has been assumed. The extent ofrepair work possible still needs to be assessed, possibly from the original GWSSB reconstructionsurvey data. Each team is anticipated to have a working supervisor and two technicians. Betweenthe team members they would have experience working with and repairing pipe systems andconcrete and masonry structures. They would also need access to local expertise for pump andmechanical repairs. It is proposed that the Engineering Support Cell (ESC) required for theProgramme (section 9.3.2) be set up in advance of Programme need to coordinate and supervisethis repair work. It will be essential that each ESC engineer has a good general experience withthe operation and maintenance of pipe systems (for both repair and Programme support work)and that at least one of the three has specific experience with the repair and rehabilitation ofwater retaining structures. If the latter is not available, then this expertise will need to be outsourced
There would be active coordination with UNICEF, NGOs and other agencies working in/withearthquake affected villages. The opportunity will be taken to make a more detailed technicalevaluation of the physical condition of in-village pipe supply facilities in villages visited togetherwith the need for reconstruction work in the event that permanent repairs are not possible orappropriate.
P i p e W a t e r S u p p l y . ••••' -, •
In-village pipe water supply will be community managed and controlled with attention to thenconservation and controlled use of water, energy and the money that will be required for systemoperation and maintenance. Specific design features proposed for pipe supplies are:
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• Design transmission systems to villages for the full village water supply design capacity of70 lpcd.
• Where the seasonal reliability of supplementary traditional sources is reasonable:
- reduce the design level for in-villaee pipe systems to 40 lpcd (rather than 70 lpcd) for futuredesign population to enable conservation of water during dry periods, and
- design in-villafie storage/pumping systems for 70 lpcd for existing populations. Additionalstorage capacity can be added later when real need is established. This approach allows forthe uncertainty of village population dynamics, the benefits of multiple sources, releasescapital for other use, and provides for greater earthquake security with multiple units.
• Where traditional sources are not reliable, design all in-village systems for 70 lpcd.• Provisions for community tap supply to always have precedence over the provision of house
connections with residual storage (50%) to be reserved for community tap supply withappropriate connection design.
• Where in village sumps are used, install handpumps to enable their contents to behygienicallyaccessed in emergencies.
• Ensure all structures are designed to withstand earthquakes through structural design and/orlocation.
The implementation of pipe supply improvements for villages whether connecting to a regionalscheme, a local mini-scheme of 3 to 5 villages or a single village panchayat system is proposedto be by supported community management There may be a few occasions where two or morevillages will need to work together and share their resources and funds for implementationmanagement In aff cases, implementation is proposed to be in accordance with approved vfflaceAction Plans.
Communities will however, require engineering design, and supervision assistance for thecontract construction of in-village sumps and pumping machinery, storage structures and largertransmission pipelines to and between villages. Engineering support will be provided throughEngineering Support Cells (ESC) to be set up by the Programme. Village communities will payfor the services of ESC engineers from their Programme development funds. Contracts for thesevillage works would be arranged on a work and supply basis and be managed by villagecommunities with the supervising assistance of ESC engineers. The function and operation of theESC is described in more detail in Chapter 9.
The Netherlands funded School Programme in Gujarat provides sanitation facilities for schools.When schools in the School Programme are associated with Programme villages, pipe watersupply wilh a standpost will be provided to the school when this is feasible to complement thesanitation initiative.
Local Traditihnal
Village communities will assess the seasonal reliability and quality of local traditional watersources witn Programme support for the following purposes:
.To preserve and enhance traditional sources of supply preferred for drinking and cooking l y^ S ^ J S f ^ j t y "ri providing for hygienic with-drawl of water (e.g.: deepen and coverv weUs »"q install haiyhwimns)
^^^l^vrfop) existing (and new) village tanks (ponds) to augmentjS^BCs^ther than drinking and cooking with reference to existing
15
experience in the Programme area, catchment management issues, and the investigation ofways of reducing percolation losses.
• To identify and establish alternative local water sources such as checkdams for riverbedretention of run-off water, ground water recharge ponds/conservation systems, rainwaterharvesting for drinking water etc. to further augment existing pipe and traditional supplies.
This in-village traditional water source and resource work will be organised and supervisedand or undertaken by village communities.
Common Organisation
All water supply Programme improvement work, both pipe and traditional, will be managed byformally instituted village/Panchayat committees (Pani Samiti) with the full facilitating supportof NGOs and when appropriate, ESC engineers. Similarly, the operation and maintenance of allin-village water supply and water resource facilities will be organised and managed by the 'PaniSamiti'. The Programme will provide necessary training, capacity building and managementsystems together with facilitating support to enable village committees to undertake and managethis work responsibly.
Ground Water Availability
Rural water supply programmes typically involve a substantial allowance for detailedhydrogeological investigations for the location of good quality ground water, (e.g.: the Ghoghaproject). This involves costly investigation work, often with considerable uncertainty. Such workis not proposed for this Programme. There are several reasons for this:
The major effort by GWSSB to provide piped water to the majority of Programme villages,The Programme emphasis on village level water resource conservation,The continuing depletion of ground water resources by uncontrolled irrigation abstraction,The arid nature and shortage of ground water in much of Kutch districtThe Programme approach of multiple sources, village managed supply security.
While it is acknowledged that quality ground water is a good objective, for the circumstances ofthis Programme it is proposed that the need for and benefits of hydrogeological investigations bereviewed when rather more is known of Programme villages after the Programme has got underway. This could be an appropriate topic at the time of reviewing the proposed first phase of theProgramme (section 1.5). Programme costs will allow for the development of some new localground water sources
Operation and Maintenance
Tn future, Trutrranune village communities will be responsibility for the operation and...irucaance ui all village water supply facilities. This will include organising operating staff,
inspecting facilities and ensuring they are used properly, organising and attending to repairs,making all payments and collecting funds for repairs and also operating charges. Pani Samiti willhave overall management responsibility. For major repair works they may have to call on thePanchayat system for assistance.
Water Quality
The conventional approach is to require and expect that all water supplies will be of potablequality and expect that testing will confirm this - the ideal situation. This Programme divergesfrom this ideal by actively supporting the development of multiple sources, typically of different
16
qualities reflecting the reality of Programme village circumstances. The Programme alsoacknowledges the difficulty of getting reliable water testing done and in particular,bacteriological testing.
The programme initial emphasises the provision and protection of sufficient good quality waterfor drinking, cooking and essential personal use. This will be supported by hygiene education onhow to hygienically collect, manage and protect this water in the house. Improvements of watersources for other use will be addressed on a village by village basis.
6.1.5 Scope of Pipe Works
In summary, Programme pipe water supply works will cover the following:
• all in-village water supply facilities, pipe and storage, where regional schemes are the sourceof supply.
• -all water supply facilities for villages with their own source, even if the source (e.g.:tubewell) is up to may be one to two kilometres outside the village
• shared water supply source/storage for small clusters of villages (maximum five) togetherwith transmission lines to each village and all in-village facilities.
The regional augmentation schemes being funded by ADB are designed to provide enhancedpipe water supply of drinking quality in bulk pipelines. It has been agreed between ADB,GWSSB and WASMO that ADB will provide and meet the cost of all connecting pipelinesgreater than ISO mm diameter and associated structures (sumps, storage) serving two or morevillages. This Programme will meet the costs and work for smaller pipelines and structuresassociated with single villages, even if located outside the village. The Programme will need tocoordinate with ADB in this matter and keep up-to-date with ADB's implementationprogramme.
6.2 Environmental Sanitation and Hygiene Improvement
6.2.1 Existing Conditions
The sanitary conditions in Programme villages are inherently poor with very few'improvements' to be found. General practice includes open defecation around the periphery ofvillages, open household wastewater drainage to lanes with drainage from around standposts andcattle troughs generally poor. Additionally, the coexistence of households with their animals andthe heaps of animal waste and other solid waste about villages further contribute to theirgenerally unsanitary condition. However, the formulation Mission did note a general tidiness and'dusty* cleanliness in the more central areas of villages visited It was also apparent that thelimited availability of water and the dry seasonal conditions helped to limiting drainageproblems,
6.2.2 Improvement Objectives
The level of sanitation and hygiene awareness and interest in programme villages is reported tobe quite low. This will need to be developed if greater community support for improvement is tobe achieved. Primary objectives for sanitation and hygiene improvement will be to:
• Raise the awareness of village communities and households to existing sanitation problems~ and deficiencies,• • Promote the development of a 'community conscience' for cleaner more hygienic conditions- in the communal areas of villages,
17
• Work to improve personal and household hygiene practices in relation to household wateruse and storage, household cleanliness and personal hygiene and defecation practices,
• Support the introduction of practical solutions and sanitation improvements and facilities forboth the community and households,
• Promote the conservation and recycling of personal wastes and reuse of householdwastewater and wastes through gardens, composting and similar practices.
6.2.3 Physical Components
A range of physical components will be introduced to provide for community and householdsanitation improvements. These are:
• Hygienic household drinking water (and other) storage systems,• Soak pits for household wastewater disposal, especially for households with house
connections,• Most appropriate defecation practices and systems. This will include latrines of appropriate
design for village circumstances (not just the standard pourflush double pit). The simple andhygienic cultural practice of earlier times involving defecation and burial in small freshly dugpersonal holes will be explored as an acceptable, environmentally beneficial and veryaffordable improvement on predominant existing rural practice of open space defecation.
• Village drainage will be included at all standposts and cattle troughs and for other specificwastewater problem areas in the village (storm water drainage will not be included unlessdemonstrated to be a very significant localised issue)
• Communal and school sanitation/latrine blocks will be provided when a specific need isidentified, but only when a workable arrangement is set up by the community or school forthe controlled use and care of the facility.
• Community composting pits for animal and other solid wastes will be provided on ademonstration basis with benefits of improved sanitation and recycling organic material andnutrients.
6.2.3 Planning Strategy
The Programme will aim to improve the sanitary conditions of communal areas and facilitiesthroughout villages and support and demonstrate improvements in 10 to 15 percent ofhouseholds. Proposed improvements will need to be built into village Action Plans. Communalsanitation and household hygiene promotion will be essential supporting requirements. Localschools will be incorporated as an active component for the promotion of improvements withinvillage communities. The Programme will identify ways of rewarding particularly responsivecommunities, possibly with the release of additional development funds.
6.2.4 Design Approach
Technical designs and support would be kept to a minimum by adopting simple standard unitdesigns for supported sanitation structures emphasising appropriate simplicity of design andconstruction using locally available resources (and building techniques). Over design withexcessive cost is to be avoided Technical competence for implementation will centre on choiceof unit design, installation location with adaptation for special circumstances and the supervisionof the quality vqf installation and materials. Susceptibility to moderate earthquake damage wouldbe an additional design consideration.
•.mis?'. -'.".*....; i.ih-
ftff^WsH;-"-^^;.::^ •:•£:&!*
.—I* ' :
18
6.2.5 Implementation Organisation
Environmental sanitation improvements will be an entirely community managed activity in eachprogramme villages. The investigation planning, selection of options and organisation andimplementation of work would be arranged locally under community and householdmanagement The work will be done using local tradesmen and/or community members.Householders would typically provide their labour in contribution. All improvement works willbe in accordance with the overall village Action Plan and the general Programmeimplementation methodology.
The Programme will require that communities and households contribute to the cost of sanitationimprovements establishing their 'ownership' of improvements - the balance cost being met bythe Programme. The community contribution can be as cash or with contribution of time andlabour. The level of contribution will need to be set by the Programme. It is proposed thathouseholds contribute 40 percent of the cost of household installations and 10 percent forcommunal facilities to benefit the overall community (contributions spread over benefitinghouseholds).
6.2.6 Use and Care of Facilities
The community and households will be fully responsible for the proper use, care andmaintenance of all communal and household sanitation facilities respectively. Deciding onarrangements for this will be an essential planning requirement before work starts onimprovements together with deciding how any costs associated will be met. This may involveemploying someone from the community to look after communal facilities. The Programme willsupport the village with associated hygiene education and training for proper use and care.
6 3 Community Organisation
6.3.1 Existing Situation
The general nature of community organisation existing in Programme villages is known with theinstitutional framework for community involvement in village water and sanitation already inplace in many villages. This is in the fonn of village Panchayats and in some cases, informalPani Samitis and Trusts that manage village water supply affairs. Panchayats/Trusts aremanaging the operations and maintenance and cost recovery for many individual village watersupply schemes. Their composition is mainly of the 6 to 7 village elders and influential personsof the village. At times there is a woman Sarpanch (as in Chakampar), but she does not havemuch say in the affairs and management of water resources.
6.3.2 Programme Objective and Strategy
The primary objective of the Programme is that the process of making in-village water andsanitation improvement is to be Community Managed This requires that there be a fullyfunctional community oraanisan'on/Tb achieve this, existing community organisation in villages
-' will be strengthened and appropriately empowered with Programme facilitating support Thebasis for this will be Pani Samitis provided for by Government Resolution (PRCH-1095-941/CH,
, dated 21-04-1995) as statutory bodies within Gram Panchayats with responsibility for water andsanitation within villages. Where necessary, Pani Samiti would be formed at the time of the
unmeTs initial involvement in support of villages.»T-*iW*w<
^ j ^ - repr eaeulalive of the whole community and in particular,resentatives fionPsotially excluded groups. This is to ensure their interests are
allowed for. Their inclusion is critical when water supply and sanitation improvements for thevillage are being planned and designed and also during construction. In some situations, it maybe useful for the community to initially estahlis^ ^wO o r more sub-groups with representation onihe Pani Samiti to oe responsible tor their local concerns and requirements.. i
A basic underlying objective and strategy is for village communities to develop theorganisational and management skills and capacity to not only work with the Programme, but
n to enable them to continue in the future with development and improvement activities inneir villages. Village communities will be required to formally ioin with the Prnflrarnrpg to
benefit. A Memorandum of Understanding will be used for this. -
6.3.3 Community Management
The initial establishment and following capacity building of the Pani Samiti and communityorganisation to be responsible for the Programme in their village will be guided and supported bythe supporting NGO working for the Programme in their area. The Pani Samiti/Panchayat (andthe community) will need to learn about the Programme, how it is designed to assist them andwhat they will need to do to work with and benefit from the support of the Programme.
This will involve a learning and consolidation process with necessary training and guidance onthe range of topics involved in community management On-the-job training will provide thebasis for capacity building. The existing abilities learnt and developed in the course of thecommercial and private activities of village members will not be ignored.
Specific topics for additional capacity building, particularly for Pani Samiti and panchayatmembers, will include:
Planning and identification of solutions,Work and resource organisation,Setting up work agreements and contracts,Supervising and guiding implementation work,Monitoring work performance and quality.Operation, care, maintenance and cost of community facilities.Managing funds received and collected,Expenditure on work done and basic accounting,Meeting processes and record keeping
Reporting and documentation keeping
6.3.4 Involvement of Women and Disadvantaged Groups
This is a requirement that needs to be specifically provided for.Dtaatr,-?ntaged Groups - They often reside at the periphery of the village, frequently at the tailend of the pipe water supplies. Their dependence on alternative water sources for all water needsis greater - virdhas, ponds, rivers etc. The time and effort required to collect water by the poor,men and women, has important social and economic implications for them. Both men andwomen lose income if they are not able to get to work and similarly, girls have to stay away fromschool in summer months to collect water. These groups typically live in very unsanitaryconditions with few if any facilities available to them.
Involvement of Women - because women are the primary users and managers of water at thehousehold level and for animal husbandry, the Programme will need to provide .for theirinvolvement in all community organisations, in decision-makin& processes equally with men and
20
at all stages of the programme. For this, there will need to be a supporting Programme genderstjBlsgy.yThe requirements of women users need to be given particular attention when locatingstand posts and sanitation facilities.
At village level, the following features for the support of women's involvement need to beprovided for:
Include active women as members of Pani Samitis,Involve women in all programme preparatory activities in the village,Have separate focus group discussions with women to bring them forwardArrange for men to give 'space' to enable women to participate,Design training and materials/formats for non literate groups and women,Include village women in all technical aspects and training for the Programme
6.4 Programme Development Process
The 'project cycle' for all development programmes and projects is similar, with stages ofinvestigation, planning, design, organisation, implementation, operation and maintenance (useand care) and desirably final evaluation. For typical engineering projects, all stages are managedexternally and the work contracted. With the facilitated community managed basis for thisProgramme however, a rather different process involving different participants is required.
The following stages and principle participants will be involved:
Programme• Programme administrative establishment• Programme organisational establishment
Village Programme• Community mobilisation• Community Action Plan• Community managed implementation• Community use and care of facilities
GON, GOI, GOG, WASMOWASMO,NGOs(+EAS)
Community, PS, NGOPS,NGO,CMSUPS, NGO, ESC, ContractorsCommunity, PS, (NGO
Note: PS - Pani Samiti/Panchayat; ESC - Engineering Support Cell; EAS - External Advisory Services
The Programme will be geographically divided into logistically manageable groups of villagesfor each NGO to support Each MfiO will tn_turn establish sub-groups of villages with each
.Supported by a Villafp- Snpp™* TT"'f p " r eachWiage Support Unit, me Programme, will involve"l i
y f pp goverlapping single village programmes starting in a phased manner according to the unit's"capacity to support the villages in its group. In practice it may prove convenient to work withvillages in clusters of 4 to 5.
The Programme will be very people/community orientated with requirements of institutionalcapacity building and the establishment of programme systems for both NGOs and PaniSamiti/communities as an integral part of the community managed implementation process. Thiswill be ongoing for the duration of the Programme, not just as an^stablishment activity. For thisProgramme, engineering and technology requirements will beCgupportiy^activities ruthtr thanIne determent activities. This shift-in~process approach originates from the WASMO sectorconcept that provides the fundamental basis tor the Programme.
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7. COMMUNITY MANAGED IMPLEMENTATION
7.1 Village Empowerment
To enable village communities to participate in the Programme it will be necessary for them tobe suitably empowered. Communities will do this through a Pani Samiti as an extension of theirGram Panchayat. This will enable villages to assume responsibility for water and sanitationmanagement and improvements in their village. Essential requirements for effectiveempowerment will be:
• A Memorandum of Understanding (MOU) with WASMO to establish thecommunity/Panchayat's commitment to the Programme,
• The MOU will define the roles and responsibilities of all participants,• The Pani Samiti/Panchayat will be responsible for village level management of all stages of
the Programme from planning through implementation to subsequent operation andmaintenance,
• A Programme approved Village Action Plan developed by the village community willprovide the basis for implementation of improvements and ongoing Programme support,
• All Programme development funds for village improvements will be received and managedby the Pani Samiti,
• The village community will be kept fully informed by the Pani Samiti to enable them tomonitor progress and performance at all times,
This empowerment, together with Programme assisted village capacity building will make eachvillage and its Pani Samiti the primary focus of the Programme and place responsibility for waterand sanitation improvements in their village squarely in their hands. It is in this respect that theProgramme makes a fundamental shift in sector development support.
7.2 Partnership with the Community
For the effective involvement of village communities in partnership with the facilitatingmembers of the Programme, a relationship needs to be established in every case based onprinciples of trust, transparency and equity. For the Programme, this applies equally to WASMO,the CMSUs and directly facilitating NGOs. The relationship problems of the Ghogha project arenot to be repeated. The following processes are essential for this outcome:
Listen for the concerns and constraints of the communityUnderstand the community's perceptions and prioritiesLearn about their capacities, strengths and potentialsIdentify the social dynamics of caste, class and gender in the communityEnable and guide them to take the lead in analysis, planning and implementationGive the community space to make and learn from their mistakes
This basis of partnership does however mean that there must be real commitment from bothparties with promises and intended actions carried out and honoured. It means that the peoplebased relationship is given full priority with the design and application of Programme proceduresallowing for this. To do otherwise is to undermine the trust originally established. Unfortunately,projects and programmes abound where intent and promises have not been honoured, withfailure of relationships and poor performance the inevitable result
22
13 Community Management Methodology
This is the core feature of the Programme upon which all other activities will ultimately bedependent If effective fntrnniinity management can not he realised then the Programme can beexpected to fail in tb»* ̂ jjllfiifr* T h l g does n<rt of course mean the Programme will necessarily fail,as it comprises many individual village programmes.
The community management methodology proposed consists of the following six sequentialmain stages:
• Programme Introduction and Acceptance '2~ «• Community Mobilisation and Empowerment 0• Village Action Plan preparation and approval /u- Capacity Building and Work Organisation• Community Managed Implementation• Operation, Use and Care of Facilities S sZ^
The detail of these stages are given in Appendix 1 showing sub-tasks, the outcome expected ofsub-tasks, the main parties involveaSand an estimate of time typically required for each task. Thetime estimate will vary between villagesTn practice. Also shown are community managementand implementation milestones to be achieved by villages. The significance of these isconsidered in section 7.4.
Following is an outline description of the salient features of the proposed methodology.
A: Programme Introduction and Acceptgnc* 2 weeks duration Weeks 1 to 2
The Programme is initially introduced to the community leaders by the CMSU and thesupporting NGO and then, to a community meeting. After a period for reflection, asecond (or third) community meeting decides whether to accept or reject introduction ofthe Programme into their village. It is the community's choice.
Milestone 1 - Programme acceptance or rejection.
B: Community Mobilisation and Empowerment 8 weeks duration Weeks 3 to 10
With Programme acceptance, the whole village community is involved with the start ofthe Programme and the investigation and assessment of the village physical and socialorganisation and its water and sanitation circumstances and needs. The village will beinvolved in PRA and other similar participatory activities for this purpose. With NGOguidance, the community would review the findings of the exercise. During this process,potential members for a Pani Samiti would be expected to emerge together with groups,which should be represented. This stage is intended to conclude with the selection of PaniSamiti members by the community, followed by the formal establishment of the PaniSamiti, including setting up a bank account in association with the Gram PanchayatDuring this establishment period, Pani Samiti (and Panchayat) members would be furtherorientated about the Programme and receive initial training.
Milestone 2 - Pani Samiti formally established (Yes or No)
23
C: Village Action Plan 10 weeks duration Weeks 11 to 20
With the Pani Samiti established, it will, in continuing consultation with the communitydevelop a village Action Plan for water and sanitation improvements for the village. Thiswould be based on findings of the earlier survey and assessment of the village. Decisionswould be made on technical solutions to adopt, related social considerations andoperational and cost responsibilities. The Pani Samiti will be given substantial support bythe supporting NGO and may call for ESC assistance during this planning period. A draftplan will be shared with the community and after a period for community review anddiscussion, accepted or returned for further consideration.
With community acceptance, the Puni Samiti will submit the Village Aciion Fiantogether with ib> accompanying budget, to the CMSU for review and approval. It iscritical that this review is clone without delay - a two-week period is consideredsufficient unless it is found necessary to return the Plan to the community for furtherdevelopment. The CMSU needs to visit each village to convey its approval or concerns,if not approved. This will serve to strengthen the relationship with WASMO anddemonstrate the commitment of WASMO to the village community and the Programme.
Milestone 3 - Village Action Plan approval or rejection
D: Capacity Building and Work Organisation 5 weeks duration Weeks 21 to 25
The Pani Samiti with community help and NGO guidance would work out how best toimplement improvements, plan the organisation of this, locate and cost materials andarrange for the work to be done. Financial arrangements would be set up, communitymonitoring systems organised and ways of keeping the community informed of activitiesand progress put in place. Throughout, this period, on-the-job training would be anessential ongoing activity organised by the supporting NGO. For larger works, primarilypipe water supply structures, engineering support would be provided on request by theEngineering Support Cell. At the conclusion of this period, the Pani Samiti should beready to arrange the first improvement work. Prudently, they would be advised to startwith smaller works initially. Larger pipe water supply works may still be underpreparation.
Milestone 4 - Implementation organised and ready to start work
E: Community Managed Implementation ( 46 weeks duration Weeks 26 to 71
With the start of this phase, planned works would be arranged and/or contracted out withthe commencement of physical work following. The Pani Samiti would supervise and trackthe progress and quality of work, with the monitoring support of an informed communityand assistance from the NGO. There would be periodic reporting of progress to the CMSUtogether with requests for further funds to be advanced, subject to acceptable accountingfor earlier expenditure and conformity with the approved village Action Plan. The soleresponsibility for management of implementation works would be with the Pani Samiti andits supporting community. On completion of works, they will be inspected and finalcompletion statements and accounting of expenditure made to the CMSU.
Milestone 5 - Successful completion of planned works
24
F: Operation. Use and Care of Facilities 6 weeks duration Weeks 72 to 77
With the completion of facilities (and during the latter stages of implementation) theoriginal planning arrangements providing for the responsible operation and care offacilities will be put into action and the concerned community members givenappropriate on-the-job training. The regular collection of operational funds would start,where required
Milestone 6 - Ongoing proper use of facilities
The above description and suggested timetable is for a responsive village and assumescontinuing effective support from facilitating NGOs. There is also no allowance made for delayson the part of the Programme. There is no line-department role involved which should avoid me i \decision making difficulties which have plagued water and sanitation projects in the past, >i\including the Ghogha project
7.4 Performance Milestones
The community management methodology requires village communities to complete several keyactivities to enable the community to logically proceed to the following phase of themethodology. All Programme partners will have an interest in tracking the achievement ofmilestones by each village. The NGOs in their direct support role and the CMSU in theirmonitoring and approval role. The development interests of block and district panchayat systemwill also have an interest The proposed milestones are summarised as:
• Milestone 1 - Programme acceptance - if not there is no basis for proceeding• Milestone 2 - Pani Samiti formally established - if not have no organisation to be
responsible for the community management of Programme supportedimprovements; the Programme does not have a village partner.
• Milestone 3 - Village Action Plan acceptance - if not have no basis for approving funds andmonitoring implementation progress; the village has no development funds towork with.
• Milestone 4 - Implementation organised ready to start work - if not any work started islikely to be poorly implemented and managed
• Milestone 5 - Successful completion of planned works - if ongoing after plannedcompletion time indicates implementation and performance difficulties.
• Milestone 6 - Ongoing proper use of facilities - if not, then have problems withsustainability of facility
The achievement of these milestones will mean that Programme activities are progressing welland most importantly, that the village has achieved an effective community managementcapacity. Failure or delays in achieving one or more milestones will indicate that the village ishaving difficulty with their management of programme activities in the village or worse still, thePani Samiti is not functioning effectively. The milestones will be a very important component ofthe Programme monitoring system.
Inevitably, there will be some failures and attrition of villages from the Programme, humannature being what it is, notwithstanding the support efforts of the NGOs. The important issuewill be to try to understand why villages drop out and to the extent possible withoutcompromising overall Programme performance, adapt the Programme methodology to reducethe incidence ul luSsTuHU&lure. Although it is impossible to estimate what the dropout rate may
percent of villages wbuld not be unexpected, yritiTmaybe a further 25 percent pertgntuj^Indifferently. ^
25
7.5 Circumstances for Withdrawal
Villages will formally withdraw from the Programme with the satisfactory completion of allcomponents of their village Action Plan and provisions for the ongoing operational managementof facilities and cost recovery in place.
Early withdrawal of the Programme from a village is an alternative with or without suspension ofprogramme activities. This will occur if villages fail to achieve a key community managementmilestone after an acceptable number of attempts or due to lack of commitment to theProgramme with unreasonable delays. Significant unapproved deviation from the approvedvillage Action Plan with expenditure outside that provided for by the Action Plan budget, wouldbe a, further reason for Programme withdrawal.
It is important that reasonable performance limits and milestones be set and exercised rrom theoutset. It is essential that an open-ended situation be avoided and that there is not undue latitudefor the Programme to drift in time. The size of the Programme and its multi-village compositionwill not be able to accommodate undue delays without putting programme support to performingvillages at risk. ;
The Programme will need to for to be prepared to pull awav from non-performing villages. Anappropriate withdrawal procedure will need to be developed for this. It would be expected toinvolve a consultative process to enable the situation and the nature of problems beingexperienced to be discussed with the community. However, should problem communities not beprepared to make meaningful changes reasonably promptly, then the Programme needs to beprepared to move onto more responsive villages.
7.6 Ongoing Autonomy
An important outcome from the successful association of the Programme with villagecommunities and Panchayats will be their strengthened capacity to manage their own affairs,operate and manage village facilities and undertake further village development on their own.Such functional autonomy for villages wouldbe-the-ultimate adiievement for the Programme.This needs to be seen and maixtfawed^sthe ultimate Programme target.
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8. PROGRAMME SUPPORT
8.1 Purpose
The provision of institutional facilitating support was earlier identified (section 5.6) as the keyprogramme feature required to support the community managed implementation of theProgramme at village level while the nature and extent of support required has been outlined aspart of the description of community management methodology. In practice, there will be threelevels of support - Programme support by WASMO, facilitating support by NGOs andimplementation support by NGO field staff.
8.2 Programme Support
The WASMO ilzzd Office will be responsible for supporting the Programme, in pan workingthrough its district level Coordination, Monitoring and Support Units. WASMO will beresponsible for the initial planning, organising and setting up the Programme includingidentifying and contracting NGOs. WASMO will need also to prepare initial Programmeguidelines and operating systems for the Programme.
Initially, WASMO will provide orientation and start up training for recruited NGOs. Later, whenthe Programme gets under way, WASMO will provide ongoing support to ensure that there is acommon understanding and perspective among all parties involved in the Programme. This willinvolve awareness building, orientation, training and education to ensure that all involved arecommitted to the programme and its concept and objectives. At the same time, there will need tobe a limited degree of flexibility and scope to enable response to field situations encountered.
8 3 Facilitating Support
r NGOs will support the community managed development in villages with field staff teams to beset up for this purpose. They will take the Programme to village communities in accordance withthe overall Programme implementation plan developed by WASMO. It will be the NGOs role toensure the Programme is applied consistently, that Programme timeframes and performancetargets are met and that Programme communities understand the purpose and scope of theProgramme expectations and are able to perform to the best of their abilities. It will also be theirrole to bring WASMO and Programme communities together through their successful support toof the Programme.
In undertaking their facilitating role, some of the more important responsibilities NGOs and theirfield staff will have are to:
Develop a working relationship with WASMO and CMSUs,Appoint suitably qualified and experienced field staff and coordinators for the work areaEnsure that all staff receive appropriate orientation and training for their programme workIdentify and recruit the services of specialist support personnel as required (e.g.: for PRA)Develop monthly plans for coordination, mobilisation, education, training and field visits.Supervise and monitor all programme activities supported by field staff,Assist Pani Samitis with the preparation of village Action Plans, budgets and proposals forsubmission to CMSUs and for informing the block/district panchayat system.
• Assist with the organisation of specialist technical and engineering support when this isrequired by communities
X • Assist communities with the organisation, management, supervision and monitoring of* implementation works and their subsequent operational management
27
• Participate in joint monthly review meetings at taluka/district level with CMSU (andWASMO) to assess progress and consider issues and problems.
• Provide monitoring information and reports required for programme management.• Participate in quarterly reflection and review workshops at taluka/district level with
WASMO, CMSUs, other Programme NGOs and Pani Samiti representatives.• Provide Pani Samitis with all necessary information for their smooth functioning.• Develop contacts and network with resource organisations, government departments and
agencies to facilitate capacity building and skill development for community groups.• Above all, ensure operational transparency and encourage free information flow.
NGOs would have one or more coordinators to support the programme and NGO field staff. Thecoordinator would be responsible for ensuring the above Programme responsibilities arc met.
5.4 Implementation Support
This will be provided to village Pani Samitis and communities by competent NGO staff and fieldworkers. NGOs will form three person Village Support Units with members having expertise andexperience in community participatory management and gender, capacity building, training andeducation and rural technology. Each Village Support Unit would be responsible for assistingaround 25 villages at a time and be in turn supported by field workers looking after 5 villageseach. The NGO would provide a Coordinator for Programme planning, management andorganisation of field staff. The responsibilities of NGO Programme staff are listed in Table 8.1.
The Programme will be very dependent on the commitment and competence of NGO field staffwho as a team will need to be conversant with all aspects of the Programme. As the 'front line'workers for the Programme, they will need to be confident in their work and support of villagecommunities and be able to convey this to village members they are working with. Communitiesmay initially be very dependent on their support and guidance. It will be essential that field stafffully recognise the significance and pivotal role that will have in Programme implementation andthat they receive all the support they are going to need.
8.5 NGO Selection Criteria
NGOs to work with and support the Programme will need to be selected with care to ensure theyhave the competence and potential capacity to effectively take part in the Programme. There areNGOs already working in the Programme area, especially in Kutch district where earthquakerelief work has been a dominant activity. Three NGOs were involved in the village level surveysconducted for water supply damage assessment - SEWA in Surendranagar, Manila Samakhya inRajkot and COHESION in Rapar Taluka. These three have working experience in the water andsanitation sector. Other NGOs were part of an earlier consultative process on the issue of water.
The selection of NGOs, including those mentioned, will need to be done objectively to ensurethe best selections are made. This needs to be made with reference to appropriate selectioncriteria such as those used for the Ghogha Project6. NGOs will be sought who preferably haveexperience in or at least some understanding of the water and sanitation sector, are willing andhave a demonstrated performance and accountability record. Specific selection criteria wouldinclude:
5 C™g'lta*'*"!j Wflrfahop An prinlring Water and Ranit^ti™ jn the BPTtH]1?flVT Affl*f^'*fl Arana nf Gujarat (DraftVInstitute of Rural management Anand, Gujarat, October 2001.6 The Ghogha Experience, Volume 1, Water and Sanitation management Organisation, June 2001.
I,• & -
1 !:¥ Table 8.1Responsibilities of NGO Programme Staff
PersonnelField worker(Karyakarta)
Village Support UnitCoordinators f3)1. Community Partici-
pation Management2. Capacity building,
Training, andEducation/Gender
3. Rural Technology
(Team members work asa unit to facilitate thecommunity and PaniSamitis)
Area of work5 villages
Up to 23 vill-agesin one Taluka,
TasksStavs in one of the villages.- Visit villages to introduce self and the programme. Subsequently regular visits.- Village meetings, surveys, house to house contacts.- Organise mobilisation, education and PRA activities.Formation and strengthening Pani Samitis- Meetings and interactions with Pani Samitis/Panchayats, village women, groups and other
village level government functionaries.- Organisation/facilitation of training/workshops at village level with assistance from the
NGO Village Support Unit team/community.- Assist with Action Plan preparation- Follow up on the milestones and report on progress/problems.Support Action Plan implementation- Support implementation of Action Plan and resolution of problems- Participate in monthly /quarterly review meetings with reports.Community Participation Management Member- Village visits and meetings.- Meet Panchayat members, Tatuka level officials.• Creating awareness and collect technical and non-technical information.- Obtaining socio-economic environmental information.- Plan/conduct surveys, PRAs, mobilisation strategies, training, workshops, melas- Guide formation of Pani Samitis- Facilitate village groups to discuss issues and make design;; and action plans- Support village Action Plan preparation and approval by WASMO- Participate in review meetings and present consolidated field reports- Follow up on milestones.Capacity building. Training and Education/ Gender Member- Village visits and meetings.- Meet Panchayat members, Taluka level officials.- Meet and hold discussions with women and men to plan (raining.- Develop ideas and materials for creating awareness and the of co! lection technical and
non-technical information.
NGO Coordinator (1) District/s
- Involve local people in mobilisation activities.- Plan, organise and facilitate training and workshops at village level.- Develop training schedules and access resource persons for capjeity building.- Identify a local resource group from the local community/ taluka and district for capacity
building.- Identify capacity building needs for various groups and levels.- Access materials/accessories for training use.- Develop materials for information dissemination' posters, handbills, newsletters etc with
kafyakartas.Rural Technology Member- Develop an understanding of community social dynamics and project principles.- Work closely with the VSU team to understand the community.- Participate in the organisation and conducting of PRAs.- Assist the design, planning and budgeting of construction activities.- Dialogue with Pani Samiti, CMSU, WASMO, GWSSB, government functionaries to
facilitate a common understanding of water resources rtiansgomsnt.- Participate in, organise and conduct training sessions with team members.- Work closely with the community to understand their needs, assess local capacities and
skills for construction.- Assist and guide on-site supervision and monitoring to help the Pani Samiti and
community to do improvement work within schedule.- Draw assistance from other sources for new ideas, innovative techniques, cost effective
and sustainable methods of construction.Assist Pani Samiti in their work with ESC engineersParticipate in monthly/quarterly meetings at Taluka/dislricl levels.
Coordinates all Programme work in villages the NGO Sup;>or(sCoordinate with WASMO with Action Plans, funding, monitoring and reporting, internalreviews and overall Programme implementation.
- Monitoring and reporting Programme and activities - monthly/quarterly- Responsible for the performance and continuity of field staff _ _ _ _ _ _
30
• Registration as a Society or Trust.• Principles of partnership, transparency, equity, trust and participation with communities.• Expertise in community organisation and participatory management work and the water
sector for 3 or more years• Ability to work with at least 30 villages or at Taluka Level.• A team of men and women with experience working closely with the community.• Specialist expertise in-house or by access to consultants/specialists - civil engineering,
community participation, gender, water resources management etc.• Demonstrated ability to take up village level issues - health, water, sanitation, and education.• Flexible attitude with capacity to take on new ideas, be adaptable, and accommodate change• Existing network with local and state level departments, agencies, other NGOs, consultants
and specialists in the development sector.• Capacity to impart training and education on community managed programme
;—plCTncntatioa- human resource development• Ability to coordinate, liase and manage inputs for the operational area.• Ability to interface and interact with WASMO, GWSSB, rural development and other
departments as and where possible.• Competencies to develop communication material in the local context.• Ability to work with socially diverse groups.• Capacity to develop monitoring and information systems.
A selection process of inviting interest with initial response to Programme expectations forNGOs leading ta short-listing, invitations to quote for provision of services with negotiationswould be anticipated. WASMO has a list of NGOs working in the Programme area andelsewhere in Gujarat
8.6 Training Requirements
The effective orientation and training of all involved with the Programme will be essential toensure their understandihg of the Programme, capacity to canyout their responsibilities andreasonable uniformity of Programme perspective, understanding and implementation by allinvolved. That the Programme concept and approach is new emphases this need.
All partners in the programme will be trained on the social, technical and health aspects of waterand sanitation, the fundamental Programme features of community management and institutionalfacilitation process and the objectives of the Programme. Other training will be specific toparticular needs of the Programme and people involved.
Table 8.2 provides a preliminary indication of initial training requirements for the programme.Training would be an ongoing requirement as the Programme expands and the need to cover allaspects of the Programme. On-the-job training would be an essential feature for thereinforcement of more organised training sessions. This would particularly apply for Pani Samitimembers and at community level.
Refresher and other follow up inputs would be necessary to strengthen concepts and consolidatenew learning. Workshops could be held to develop ffiC material and reporting formats for thecommunity in simple every day language, maybe with pictures, so that Pani Samiti members/villagers who are not literate, can follow and understand.
Table 8.2Programme Training Requirements
Trainees
Programme planners andmanagers -GOG
WASMO staff and NGOpartners/coordinatingteams
Field workers
PRA and Social Mapping- for NGO Coordinators,field workers, somecommunity membersCommunity, Pani Samitisand Panchayats
Village vomen & NGOfield workers
Local support personnelof government Deptts
Contractors and otherpersons
Facilitators
In house sensitive staffand CPM consultants
CPM consultants andproject staff
NGO, WASMO, teamof Coordinators
PRA resource persons -AKRSP/IRM A/CDSothers at district level
NGOs/ other CPMresource persons
NGOs/other CPMresource persons
NGOs, WASMO, otherCPM resource persons
WASMO, NGOsresource persons
Subjects
Integration of technical aspects of water supplyto social realities and community needs.
Programme concept, structure, components andobjectives. Concepts of facilitation support,community management, participator)'methodologies and management practicesPerspective, goals and objectives of programme,community management concepts,Methodology for field work, PRA, tasks andresponsibilities, reporting, monitoring andtraining. Rules and norms etc.Local water resources, systems, users, problems,practices, sanitation, team work, mutualcooperation.
Perspective of the project, its implementation,their participation, roles and responsibilities,understanding of issues.Design of the scheme, pipe network, qualitycontrol, O& M, costing of construction works,monitoring.Leadership, critical water management issues,local resources, participation in meetings andcommittees, expressing their problems, workingtogether for water.Orientation to the project, support forcommunity initiatives, facilitation to PaniSamitisComponent design, materials, role of people andPani Samitis, construction and O&M.
Timefrume/ Method
3 days - Woikshop, participatory planningmanagement aid monitoring, films on people'sinitiatives in technical projects.5days - About the project, technical and socialcomponents C PM and new shifts, field visits,innovations thiit could be tried.
7 days - Participatory methodology, groupdiscussions, 10'e plays, exercises, writing skilldevelopment, tommunication, etc.Charts, films, posters field visits.
7days - Surve\, village resource mapping,walk, prioritisation, seasonal ity and water.Participatory planning and action.
4 days - for vil lage groups; participatorymethodologies for analysis of maps, designsand plans developed in the village. Groupdiscussions on social dynamics, role plays,field visils, charts and drawings, films.
3 days - for groups; workshop, discussions,field visits, maps, drawings, charts, role plays,songs, films.
2days - Workshop, maps, charts, discussionsdrawings, role plays.
2 days - Sensitination discussions, maps,drawings, role plays films etc.
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9. PROGRAMME ORGANISATION
9.1 The Programme
An organisational structure for the Programme has been formulated consistent with the conceptand objectives of the Programme and in particular, facilitating support requirements.Organisational components earlier described are shown collectively in Figure 9.1. TheProgramme processes of operational activities, financial links, monitoring and advisory supportare shown and discussed in following chapters. The involvement of the Panchayat Raj system isalso shown.
9.2 Villa<w» rnmmn
TU= ?ani Samiii and supporting Grain Sabha are the focal point for the Programme together withthe households and community groups they represent. The village Pani Samiti will be asubcommittee of the village Panchayat with composition including representation from eachsocial group in the village, including women, SC/ST, minorities and other disadvantaged groups.Village level or other local specialists and stakeholders could also be included. The Samiti willbe trained and supported by Village Support Unit members of supporting NGOs andadditionally, draw support from the community and Taluka and district Panchayats. Panchayatpolitical influence will also be a consideration.
The Pani Samiti will be authorised to receive Programme grants from WASMO. It will beaccountable to the Panchayat, Gram Sabha/community and WASMO for the funds received andtheir proper utilisation in accordance with the Village Action Plan. Government will need to passa Resolution to empower village Pani Samitis holding delegated authority from the GramPanchayat to receiving government grants for undertaking water related improvements. This willbe in consequence to the earlier 1995 GOG Resolution (PRCH 1095-941/ch) providing for theformation of Pani Samiti to attend to water and sanitation requirements at village level.
The Programme roles for the Pani Samiti will build on those already provided for in the aboveGovernment Resolution. More significant roles will be to:
• Ensure that issues of water supply, sanitation and water resources are taken up with the GramSabha.
• Ensure that a Village Action Plan is prepared and approved by the CMSU for all Programmesupported activities.
• That the community is involved at all stages of planning, design, arranging, implementation,monitoring and management of water and sanitation improvements.
• It will organise and/or procure construction materials, labour and the services of contractorsrequired for water and sanitation improvement works.
• Organise, supervise and monitor construction and other Programme activities.• Ensure that the community makes contributions in cash, kind, materials etc.• Open a Panchayat bank account to receive Programme grant funds, community contributions
and for overall management of village Programme finances.• Keep accounts of Programme and community money received and expenditures incurred.• Report on the completion of all works and establish systems for the ongoing use and care of
village water and sanitation systems.• Spread awareness and consciousness about water usage and charges throughout the
community. : . Cr;•... Consciously include- women in day-to-day affairs and the use and care of systems and
7 resources by encouraging them to become involved as members of the Samiti and in other* """village activities involving the programme.
33
• Supporting the regular monitoring and reporting Programme activities of the NGO andCSMU.
Pani Samiti members will be supported from the beginning of the Programme with intensiveinitial training for their establishment, action plan preparation and work organisation phases andreceive further ongoing training during implementation. Apart from their ongoing Programmedevelopment activities, they would need to meet regularly (fortnightly/monthly), keep recordsand minutes of meetings, handle the village accounts and coordinate water users groups.
9.3 Community Support
The community support system, within the framework cf the greater organisational iclaiionships,is shown in Figure 9.2. This has two main components of NGO support to villages andengineering technical suppon from an Engineering Support Cell.
9.3.1 NGO Sunport
Operational support to the Pani Samiti (and community) will be the responsibility of supportingNGOs and their field staff- Village Support Units and Field Workers. This will be an essentiallyautonomous role in accordance with NGO performance contracts and under WASMOprogramme supervision. A preliminary assessment indicates that Field Workers will be expectedto support up to five villages each and each Village Support Unit, 25 to 30 villages (and 5 FieldWorkers) at any-one time. The number will vary as it is anticipated villages will start in anoverlapping phased manner to enable the support workload to be spread in a manageable pattern.NGOs will also provide coordinators to be responsible for the NGO's Programme supportactivities. Each coordinator will manage between 2 to 3 Village Support Unit teams.
The number of NGOs required or involved, and Village Support Unit teams for each NGO, willdepend on the coverage of villages by the Programme. The Programme Implementation Plan willrecommend a two staged approach, with an initial 200 village 'learning phase' followed by thebalance 1060 villages. With this staging and the above staffing assumptions, organisational andpersonnel numbers required for Programme community support are indicated to be:
Activity Phase 1 Phase 2% villages remaining in Programme NA (100%) (75%) (50%)
Number of villages 200 1060 795 530Number of NGOs 4 9(4 + 5) 7 5Number of Village Support Units (VSU) 8 ( 4 x 2 ) 3 6 ( 9 x 4 ) 28 20
Number of NGO Coordinators 4 18 14 10Numbers of VSU staff 24 108 84 60Numbers of Field Workers 40 216 140 100
Numbers for Phase One are believed to be reasonably realistic. The numbers for Phase Twowhile substantial, are for planning and estimating use. Final requirements will depend onexperience from Phase One identifying what is possible and manageable for Phase Two. It isalso anticipated that numbers will be reduced due to village withdrawal and attrition from theProgramme with possible effects indicated above. Taking these issues into account, it isconcluded that the required number of suitable NGOs can be expected to be available, althoughprobably some will have a greater operational capacity than others. It is also anticipated that therequired personnel will be available, but with some requiring more intensive training.
" " ^ • V " " • ' ' : ~ '
PanchayatiRaj Support
••> Monitoring
nd Community Groups
H
" ::™ / - : : ; " ! ;
:. : "
: : : : 7 ; : :-r
- -
ij|jP;5S3;:^ifi.:-:
lisilir
I Field Worker
VillageSupport Unit
Panchayat
TalukaPanchayat
....
DistrictPanchayat
35
Figure 9.2 shows NGOs drawing on external resource organisations and consultants. They willdo this for additional expertise and supplementaiy staffing capacity for specific activities. Forinstance, support with village PRA work. Assistance with training for specific topics is anothersituation that will arise.
9.3.2 Engineering Support Cell
This is a Programme arrangement that will be established to provide village communities with-Juign and supervision support for the construction of larger water supply structures, pumpingfacilities and longer pipelines connecting to regional schemes. There could also be local villagepipe water supply and structures to be rehabilitated or newly developed and larger water resourcerehabilitation and/or development work to be supported.
Each Engineering Support Cc!l will be set up initially with a core team of three deputed GWSSBengineers experienced in the rehabilitation and repair of works as well as the design andconstruction of new works. They would preferably, also be experienced with the design,construction and rehabilitation of water resource facilities. Should suitable engineers with therequired breadth, of experience are not readily available from GWSSB, then the Programmewould need to recruit suitable engineers from the private sector. The Cell would be able sourceadditional expertise from local private sector or GWSSB sources in response to specific timingand expertise requirements to supplement the capacity of the core team.
It is proposed that the Engineering Support Cell provide a commercial service with Programmeestablished hourly and/or half day fee rates. Village Pani Samiti would request the services of theESC directly and pay the ESC for services rendered from their Programme development funds.Provision for Pani Samiti to seek engineering services directly from the private sector can also beconsidered, subject to Programme acceptance of service proposals. Payments made by PaniSamiti will be used to meet the operational costs of the Engineering Support Cell with WASMOfunding any operational deficit directly using Programme funds. This approach will help villagesto appreciate the full value of village improvement works.
WASMO Head Office will set up the initial Engineering Support Cell. The Cell would beadministratively attached to the initial district based Coordination, Monitoring and Support Unit.It would however, operate independently of the Coordination, Monitoring and Support Unit. TheCMSU would be responsible for monitoring the operation and performance of the EngineeringSupport Cell and resolving any procedural problems that might arise. Supporting NGOs willassist Pani Samiti to access the engineering services of the ESC and together with the CMSU, thesupervision and management of the engineering support provided by ESC engineers. As theProgramme expands into the proposed Phase Two of implementation, up to three EngineeringSupport Cells would be set up along with additional Coordination, Monitoring and SupportUnits.
Specific services to be provided by the Engineering Support Cell will include:
• Engineering investigation, technical feasibility and identification of alternative solutions withpreliminary costs for proposed water and sanitation works (reconstruction, rehabilitation andnew works)
• Design, costing and preparation of engineering drawings for facilities chosen by villagecommunities (to be done in full consultation with the Pani Samiti and village community toensure community requirements are fully considered)
• Assistance with the preparation of contracts and sourcing of materials of acceptable quality• Assisting Pani Samiti with the supervision of the timeliness and quality of contract work,
commissioning of works and setting up of operation and maintenance requirements.
3<S
SiiiiSiii
Field Worker
Community Management/Gender
Capacity build ionRural Technology
OperationalSupport
Fee Payments
Figure 9.2
Community Support System
r • • • • • • " ; ' ' i * , • , • . • : .
37
WASMO would simplify the design of village engineering water and sanitation works byestablishing a system of unit designs and costs for alternative sizes supported by common designapproaches for facilities to the extent possible. At the same time, flexibility would beincorporated allowing for the use of alternative local materials and approaches for theimplementation of works and in particular, for sanitation and water resource works. This will bean initial task for the Engineering Support Cell.
9.3.3 Panchavat Rai Support
:̂ e Programme is also to be seen as part of the Panchayat Raj development process; not inisolation from this. The District Panchayat Development Committee is responsible forcoordinating all Panchayat development activity in the district. There will need to be Programmeliaison with the District Panchayat, through the Taluka Panchayat, since the village Pani Samitia." a sub-committee of the Gram ranchayat, is involved. It is assumed that Programme plannedcoverage for each village will need to be included as part of the District Panchayat annualdevelopment Plan. However, the relationship between the Programme and the Panchayat systemis anticipated to be one of mutual benefit and planning information flow, rather than regulatory.
9.4 Implementation Coordination, Monitoring and Support
Coordination, monitoring and support for implementation of the Programme at village leveltogether with the facilitating support of NGOs and Engineering Support Cells will be providedby the Coordination, Monitoring and Support Units (CMSU) shown in Figure 9.1. The Units willhave no Programme implementation responsibility and hence be operationally independent fromthe NGOs and Engineering Support Cells. The Units would be established as district basedProgramme specific units of WASMO with initially, the wider sector objectives of WASMOperipheral to their Programme responsibilities. The latter may assume greater significancetoward the end of Programme implementation when the benefits of Programme experience couldbe drawn on. Initially, it will be important to not divert the Programme focus of the CMSU withthe risk of compromising its performance.
9.4.1 Roles
Coordination - this role will require the CMSU to ensure that the Programme in its area ofresponsibility is fully established with the required number of NGOs in place and functionaltogether with supporting services and that these continue to be fully functional. If not thencorrective action by the CMSU will be required The CMSU will additionally be responsible forcoordinating with the district panchayat administration and as necessary, with relevantgovernment departments. It will keep both informed of the Programme and its progress andattending to specific problems that might arise. In doing this, the CMSU would promote theProgramme, its sector objectives and achievements. In this latter role, it would be representingWASMO and its wider sector role.
Monitoring - monitoring the physical and financial performance of the Programme will be aprimary responsibility of district based Coordination, Monitoring and Support Units. This willinvolve NGO preparedness and facilitating performance effectiveness, the establishment anddevelopment of Pani Samiti and village communities, their progress achieving communitymanagement and implementation capacity and achievement of performance mileston and theestablishment and performance of Engineering Support Cells. Programme monitoringrequirements are considered in detail in Chapter 13.
Support - this essential function of CMSUs is designed to ensure that village levelimplementation receives all necessary and timely organisational and procedural support from the
38
Programme, thereby largely restricting implementation delays to village related factors. Thereare Programme and village level support components.
The establishment of NGO support to villages will involve Programme orientation for newNGOs, instruction and training on the Programme implementation concept and methodology insupport of village communities and the monitoring, reporting and administrative responsibilitiesof NGOs and systems to be used. Ongoing training and guidance will be provided NGOs duringProgramme implementation on the basis of perceived requirements and performance monitoringresults. This will include bringing NGOs together on a regular basis to share and compareexperiences and results and analyse common problems and issues being experienced.
Village level support by the CMSU will be directly through prompt processing land approval1) ofvillage Action Plans with supporting budgets and the achievement of community management:r.:!cstor.cs Indirectly, village level support will be through ensuring NGOs arc adequately set upwith v.'sll trained and competent Village Support Unit staff and Field Workers and that theservices of competent Engineering Support Cells are available to drawn on.
CMSU support-to Engineering Support Cells will also involve Programme orientation for newEngineering Support Cell personnel (both core team and supplementary), instruction and trainingon the Programme implementation concept and methodology in support of village communities.Instruction and guidance on monitoring, reporting and administrative responsibilities andsystems to be used for Cell operations will also be given.
WASMO Head Office will initiate much of the early establishment support activities withCMSU personnel initially involved as trainees. Subsequently, CMSU personnel will assumeresponsibility for most Programme coordination, monitoring and support requirements.
9.4.2
The Programme will meet the operational costs of CMSU. They will have no involvement in ordirect responsibility for implementation of the Programme.
Initially only the one CMSU will be required to support the proposed Phase One activity of 200villages and four NGOs. For Phase Two of the Programme, two more units are envisaged. Thestaff structure proposed for each unit reflects its coordination monitoring and support role. Thatproposed is:
Unit Manager(sector and monitoring experience)
Programme Monitoring and Support Group- Community Management (I person) Finance and Accounts Officer- Technical Support (1 to 2 persons) (1 person)- Training and Education (1 person)- NGO Support (1 person)
- • • i s • _ • • • • • . . ' • -
The staffing disciplines are determined by Programme requirements. Staff of the CMSU willneed to be mobile. To physically visiting villages and NGOs to verify progress and claims firsthand will be an essential function for all staff. They will represent the 'face' of WASMO toProgramme communities and as such will have an important promotional role. CMSU personnelneed to visit villages with the results of village Action Plan and budget assessments and discussthese as necessarv,wim thePani Samiti (and community).
39
Personnel expertise and roles is proposed to involve the following:
Unit Manager - needs to be a person with wider sector experience (not just engineering),demonstrated management abilities, knowledge of monitoring processes and at least 10 yearsprofessional working experience. The Manager will be selected for his/her personal qualities andabilities as much as for his experience. The position needs to be advertised with applicants fromthe private sector, institutions and government to be considered on merit alone. Applicants fromall sources need to be treated on the same financial basis. Particular responsibilities will include:
• Coordination of all Programme activities for the area covered by the Unit• Management of the Programme Monitoring and Support Group activities• Ensuring Village Action Plans and budgets are promptly processed an_H approvals reported• Ensuring Programme fund flow to all parties and villages is not hindered"• Ensuring acceptable performance and financial accountability is achieved by all parties• Monitoring the performance of the Engineering Support Cell• Providing ongoing training and support to NGOs and the Engineering Support Cell• Identifying and arranging specific training and support requirements for the Programme• Preparation and presentation of CMSU annual Action Plans and Budgets to WASMO Head
Office for approval• Managing a Programme Management Information System up to CMSU level• Reporting and accounting for Programme activities to WASMO Head Office
Programme Monitoring and Support Group - the Group will comprise four to five persons,depending on CMSU workload (number of villages to monitor). Common monitoringresponsibilities of the Group will include:
• Introduce the Programme to each village together with the supporting NGO• Assess and verify progress with establishment of community management capacity and• achievement of progress milestones in each Programme village• Appraise submitted Village Action Plans and budgets for concordance with Programme
objectives, implementation approach, ability to be achieved, technical feasibility andproposed cost.
• Assess community management performance and verify progress with Programmeimplementation activities (technical and non-technical) in each village
• Assess and verify the completion of village implementation activities and preparedness forongoing use, care and sustainability of facilities and practices established
• Assess Pani Samiti financial record keeping and verify financial accountability• Routinely monitor the capacity and performance of NGOs and Village Support Units• '• nnraise monitoring and progress reports of NGOs
It is anticipated that this work will involve visiting each village once every four to six weeks onaverage with mostly, only one or two members of The Group visiting villages at a time. Visitswill be expected to be for a minimum of half a day including travel time. NGO staff togetherwith the Pani Samiti need to be present when CMSU members visit villages by arrangement. Onother occasions, they may also make unannounced monitoring visits.
Community Management Support - this person would have specific working experience withdevelopment project work involving, community participation and preferably, community(participatory) management of community implemented improvements. The person needs a goodunderstanding of participatory community development techniques and social and culturalunderstanding of rural communities and preferably, Gujarat rural villages. They need to have agood understanding of the requirements for effective community development work and thepitfalls to avoid. Specific support responsibilities will include:
40
• Provide guidance and support to NGOs for community management issues arising• Assist and/or guide the development of community management systems and documentation• Ensure reasonable concordance in community management understanding and approach
between NGOs working in the Programme• Provide orientation training for people entering the Programme on the significance and form
of Programme community management• Assist with the training of Programme personnel on all aspects of community management• Liase with the Engineering Support Cell on the features, requirements and significance of the
community managed implementation of water improvements• Introduce people and organisations outside of the Programme to community management
and its significance as applied within the Programme- Assist WASMO Head Office with the development of documentation on community
management for sector application
Training and Education Support - an important feature of the Programme will be the need forreasonably uniform training and orientation of all Programme personnel including NGO staff.This person would be responsible for ensuring that this is achieved by organising initialorientation sessions and training for all personnel working with the Programme. CMSUpersonnel will run these sessions with specialists recruited for specific topics. The personproviding training and education support would additionally support and monitor NGOs for thesubsequent training of their field staff. Specific support responsibilities would include:
• Provide guidance and support to NGOs for training and education issues arising• Assist and/or guide the development of training and education systems and documentation• Ensure reasonable concordance in training and education requirements and approach
between NGOs working in the Programme• Organise orientation training for people entering the Programme.• Organise necessary training and education for Programme personnel on all aspects of the
Programme• Ensure that hygiene education is adequately organised and effectively delivered• Assist WASMO Head Office with the development of documentation on training and
education for sector application
Technical Support - two persons are proposed for this role. One would have experienceorganising and implementing village level water supplies, both pipe and traditional and the otherexperience with the development of traditional village level water resource and conservationsystems. It is anticipated that between the two, they would have experience with environmentalsanitation systems. For all topics, there would be opportunity to access supplementary specialistexpertise. Emphasis will be placed on the recruitment of personnel with practical 'hand-on'technical experience. Theoretical engineering capacity will be a secondary consideration.Specific support responsibilities will include:
• Provide guidance and support to NGOs for technical issues arising• Assist and/or guide the development of technical solutions and documentation• Ensure reasonable concordance in the understanding and application of technical solutions
between NGOs working in the Programme• Provide orientation training for people entering the Programme on the technical significance,
approach and relevance of applicable technologies for the Programme• Assist with the training of Programme personnel on the technical features and requirementsi of the programme and in particular, technical members of Village Support Units and village'f?> Field Workers
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• Liase with the Engineering Support Cell on Programme technology and approach, villagetechnical issues arising and community management features and requirements involved
• Introduce people and organisations outside of the Programme to technical approach adoptedand its significance within the Programme
• Assist WASMO Head Office with the development of documentation on Programmetechnology and approach for sector application
NGO Support - this person would have particular responsibility for supporting the overalloperations of Programme NGOs in support of village communities. They would have expertiseand direct experience in the operations of NGOs working in the water and sanitation sector.Specific support responsibilities will include:
• Provide guidance and support to NGOs for Programme issues arising• Assist and/or guide the development of Programme systems and documentation of
significance to NGO Programme operations• Ensure reasonable concordance in all aspects of facilitation support to village communities
between NGOs working in the Programme• Assist with orientation training for NGO personnel entering the Programme• Assist with the administrative management of NGO involvement in the Programme• Assist WASMO Head Office with the development of documentation on NGO support to the
Programme
Finance and Accounts - this person would be responsible for maintaining the internal accountsof the CMSU primarily concerning the receipt of Programme grant funds and recording ofCMSU expenditure. They would also guide and assist with assessment of Village Action Planannual budgets and the subsequent accounting for Pam Samiti grant funds received andexpenditure made. They would be a qualified accountant from the private sector with knowledgeand experience of both typical NGO and Panchayat accounting systems. The deputation of anaccountant from the government sector would be considered inappropriate because of theiranticipated limited experience of alternative accounting systems. Specific responsibilities willinclude:
• Provide guidance and support to NGOs for Programme financial issues arising• Assist and/or guide the development of financial management systems and documentation• Ensure concordance of financial management systems for NGO operations in support of the
Programme• Provide orientation training for NGOs entering the Programme on the nature and form of
Programme financial management systems• Assist with the training of Programme personnel for Programme financial management• Liase with the Engineering Support Cell on the financial features of their support service to
the Programme
9.5 Programme Coordination and Policy
9.5.1 Programme Establishment
Coordination of overall Programme activity and initial establishment of the Programme will bethe responsibility of the WASMO Head Office. This will be as an extension of their widerresponsibility for sector development in Gujarat The initial ability and capacity of WASMO willbe crucial for an early start to the Programme. The range of Programme related start-up tasks tobe undertaken in a relatively short time will be considerable. This will be additional toestablishing and setting up WASMO's internal operational systems. WASMO's capacity for thiswork is presently very limited.
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Some of the establishment activities required to get the Programme under way will include:
• Programme approvals by Government and establishment formalities between governments(GOG, GOI and GON/RNE)
• Establishment of the first CMSU together with development of operational guidelines andrequirements
• CMSU staff recruitment with roles and responsibilities detailed• Identification and recruitment of first NGOs together with supporting processes and
documentation• Community management orientation documentation and process guidelines• Programme training and education design and preparation• Development of iviemoiaiidum Of Understanding for Pani Samiti agreements with WASMO,
together with relaxed guidelinesGuidelines for village Action Plan and budget preparationVillage Action Plan and budget approval procedures and guidelinesPhysical and financial monitoring systems and guidelines for the ProgrammeProgramme management and reporting processes and guidelinesDesign and preparation of a basic Programme MIS system with guidelinesProgramme funding procedures and guidelinesEstablishment of the Engineering Support Cell, operational guidelines and fee ratesGuidelines for the use of ESC services
It will be essential that this preparation work is done in the context of the relative autonomy ofWASMO and to ensure systems and procedures developed are appropriate for actual Programmeneeds. At the same time, these should not encroaching on the freedom of Pani Samitis and NGOstcruse/develop systems for their own internal operations providing overall Programme objectivesand standards are met All systems and procedures need to be easv to apply and understand, beflexible in application and readily managed. Borrowing or adapting systems and proceduresoriginally designed for other situations needs to be avoided
9.5.2 Coordination
Programme coordination will be the principle role of the WASMO Head Office that will haveoverall responsibility for the Programme. Initially, this would be exercised through the firstCMSU, but would later involve two or more CMSU to be coordinated within the Programme.There will be no implementation role for the WASMO Head Office. Programme relatedcoordination roles for the Head Office would include:
• To have the Programme formalised by Government and for funding, with the Governmentsof India and the Netherlands.To initially set-up the Programme with required organisational arrangements put in placeTo identify and contract Programme NGOs as requiredTo develop required operational documentation and systemsTo plan and organise Programme coverage and developmentTo back-stop CMSU coordination, monitoring and support Programme operationsTo establish and maintain functional Programme fund flow systemsTo establish and operate Programme operational monitoring and reporting systemsTo be responsible for the use and function of an overall Programme MISTo actively liase with and guide available External Advisory ServicesTo advise Government on Programme progress and issues requiring government supportTo prepare funding reimbursement progress reports and funding claims
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Although having no direct implementation responsibility, the progress and success of theProgramme will very largely depend on the coordinating lead and support provided by WASMOHead Office. A positive, creative and functional enabling environment will need to be fosteredby Head Office to engender confidence in all parties participating in the Programme. The relativefunctional autonomy provided for WASMO must be fully utilised to avoid the problems of pastprogrammes. In its coordinating role, WASMO needs to establish the Programme so as tominimise opportunity for bureaucratic procedural delays, indecisiveness and resource and fundnow restrictions while still ensuring simple but effective performance and financialaccountability.
9.5.3 Head Office Personnel
The personnel composition of WASMO Head Office would normally be outside the scope of thisProgramme in that WASMO would be expected to be established and fully functional. However,as the establishment of WASMO will proceed in parallel with setting up the Programme, thedisciplinary composition of WASMO Head Office personnel is considered with reference to theneeds for Programme support. The following basic organisation is suggested:
: Sector Manager
Sector Support Operational SupportDevelopment Strategies and Policy Monitoring and ReportingCommunity Managed Development Financial OperationsTechnological Development Administrative OperationsHuman Resources Development Sector Communications
In that there would be district based support from the Coordination, Monitoring and SupportUnits, the Head Office organisation could initially be kept compact with a single personrepresenting each disciplinary area. This could of course be expanded together with support staffwhen specific future need is identified. All positions, both sector and operational support, wouldbe concerned with sectoral and Programme development activities with some initial emphasis onestablishment requirements for this Programme. The experience and roles of each are brieflyseen to include:
• Sector Manager - wide sector related management experience covering the full breadth ofdisciplines involved - not just engineering. A person able to develop the autonomousorganisational operation foreseen for WASMO in a responsive and innovative manner. Agood team manager and coordinator with ability to present and promote concepts and ideas.
• Development Strategies and Policy - a planner with an understanding of the sector andexperience in policy, programme and institutional development. A good conceptualiser witha basis of real life practical experience.
• Community Managed Development - a person with in depth experience with the communitymanagement of and participation in development projects, with at least some experience ofthe sector. The person would be well-grounded in sociological techniques and be sensitive todevelopment issues of gender, women and disadvantaged groups.
• Technological Development - a technologist/engineer with knowledge and practicalexperience of the full range of water supply, water resource and sanitation technologies.
• Human Resource Development - a person experienced in development programme trainingand education for all levels, the range of techniques available and preferably, with sectorrelated experience.
• Monitoring and Reporting - a person with fust-hand experience of Management InformationSystems, other monitoring techniques, complementary progress reporting requirements withultimate objectives of effective performance and financial accountability.
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* Financial Operations -person to be responsible for directing the flow of development fundsthrough WASMO and the development of flexible and simple financial accounting systemsappropriate for the Programme and the autonomous status foreseen for WASMO.
* Administrative Operations —_a person with experience of a range of administrative systemsand the ability to support/develop simple and readily managed functional systems compatiblewith the autonomous status foreseen for WASMO.
* Sector Communications - a role not initially required but with time would assist WASMO todisseminate its sector reform advice and guidance to best effect
The importance of recruiting staff of appropriate experience and demonstrated competence forthese positions has to be emphasised As a rule of thumb, 'good performers' are an order ofmagnitude more effective and productive than 'average performers' while 'average performers'arc infinitely more effective and productive than 'poor performers9. It would be wise to target theiuutl market when locking for the above people - government, institutions and private sector.WASMO is going to need the most productive and effective people it can find if it is to establishitself, set up this Programme and in turn, meet its wider sector objectives
9.5.4 Policy •
The primary object of WASMO is to support and foster the sector reforms for India that GOGhave accepted and intend to apply. This Programme provides opportunity for facilitateddecentralisation and community management objectives of the intended sector reforms to beapplied in practice, possibly for the first time on a Programme basis. It is an importantopportunity to 'learn from first hand experience'. Experience and feedback from the Programmeis anticipated to significantly benefit the sector and as such, contribute to the adaptation andconsolidation of sector policy for Gujarat and thereby strengthen WASMO's future capacity tosupport the sector
9.6 Programme Support
9.6.1 Government of Gujarat
Government, both GOI and GOG, will support the Programme through the sector reformsadopted and Programme fund flow. Government will be required to ensure that regulatory andprocedural needs are provided for and to help resolve fundamental Programme problems andbottlenecks that WASMO can not resolve on its own. A critical area of support will be to ensurethat the Programme can get underway promptly and that supporting Government resources andfunds are made available.
9.6.2 Task Force
In view of the innovative nature of the Programme, the newness, alternative autonomous set upand objects of WASMO and the sector reforms recently adopted by Government, it is proposedthat the establishment of a Task Force of senior personnel would provide the followingProgramme and WASMO/sector benefits:
Programme •• Initially support the Programme and advise Government of specific Programme requirements
needing Government attention and/or to resolve procedural/funding bottlenecks• To monitor Programme performance and advise Government of sectoral significance
recommend improvements and/or changes to the Programme concept/approachTo provide advice and guidance for improved Programme operation .._ .
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WASMO and Sector Reforms• To monitor the establishment of WASMO, identify limitations and problem areas and
recommend improvements to Government• To monitor the performance of WASMO in support of sector development and advise
Government• To observe the application and progress of sector reforms in Gujarat and advise Government
accordingly with beneficial recommendations when required• To foster and support the process of sector reform and the incorporation of lessons learnt
from sector experience (and this Programme)
The membership of a Task Force for this purpose should be representative of sector interests andinclude a mix of senior government personnel (with capacity for deputised representation),institutional representation with sectoral expertise and representation from sector users(community/panchayat and irrigation most notably). Initially, Task Force membership could bekept relatively small with a WASMO and Programme establishment focus (say 6 to S members),although still having representation from the three principle groups identified. Membership couldbe later expanded in accordance with sectoral need. The Government of Netherlands could beinvited to attend as an observing member. The Task Force would typically meet six monthly. Itwould be a critical role of WASMO to effectively brief the Task Force, provide progress andmonitoring information and provide general and secretarial support. The Task Force would beencouraged to additionally make its own field observations.
9.6.3 Government of the Netherlands
The proposal anticipates that the Government of the Netherlands will support the programmethrough grant-aid funding and the provision of External Advisory Service support. This latter isconsidered in Chapter 14. The particular attraction for the Netherlands Government is theadoption of sector reform by the Government of Gujarat and the establishment of WASMO toeffect the decentralised sector reforms. That this Programme represents an opportunity for thesector reforms and WASMO objectives to be applied in practice is of interest to the NetherlandsGovernment.
10. PROGRAMME OPERATIONS
10.1 Functional Simplicity
A dominant feature of Programme design will be its organisational and operational simplicity.The need for complicated operational procedures integrating the implementation and supportactivities of a multi-layered operationally interdependent organisation is avoided.
Organisationally, the Programme is made up of discrete groups, each independently responsiblefor part of the Programme's operation and their own internal administration while still workingwithin an overall coordinated programme framework. This is exemplified in Table 10.1.
Table 10.1Functional Independence of Programme Groups
Group
Operational .WASMO Head Office
NGOs and staff.
Number
One
Several
Pani SamiuTPanchayat Many
SupportCoordination,Monitoring and SupportUnit (CMSU)
Few
Engineering Support Cell One(ESC)
External Advisory OneServices (EAS)
10*2 Planning
Programme Role - Internal Operations
Programme coordination, planning and fund flow - owninternal organisational management, administration andfunding
Facilitating support to village communities - owninternal organisational management, administration andfunding
Community managed implementation of improvements- own internal organisational management,administration and funding
Programme approvals, performance and financialmonitoring - own internal organisational managementand funding; administration linked to WASMO HeadOffice
Programme support on request for engineering guidance- independent organisational management, funding fromfees, minimal administration - linked to CMSU
Programme assistance and development support throughWASMO Head Office - own internal organisationalmanagement, administration and funding
The fundamental Programme planning and operational unit is each village Pani Samiti andcommunity with their Programme Action Plan and budget The greater Programme is made up ci'the many of these functional units that are all independent of each other. There is need forplanning coordination for the provision of NGO facilitating support to villages and relatedsupporting resources. The problems of detailed integration of resources and implementationactivities are much reduced.
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The principal planning requirement will be the sequencing of Programme coverage of villagesthroughout the Programme area by WASMO to allow for effective logistical operations. The rateof coverage will be determined by the time and effort required with each village and the abilityto mobilise effective NGO supporting capacity. The recommendation that a 'learning phase' bebuilt into the Programme was earlier identified.
10.3 Procurement
The design of the program is such that there is very little procurement (purchase) of materials tobe done by WASMO, the CMSU or NGOs. For these organisations, procurement will berestricted to items required for their own internal operations and establishment. This reduces thecomplexity and formality of Programme procurement and sioiage. However, some proceduresmay be required ai Fani Samiri ievei.
Pani Samitis: Pani Samitis will mostly enter into contracts with materials supplied. This willobviate the need for tracking material purchases and consumption. Where this is not feasible,procurement procedures have to be appropriate to the capacity and environment of the PaniSamitis. It is important that Pani Samitis are allowed space and time to develop their own basicbut effective procedures, rather than have these imposed on them. In some cases, the PaniSamitis may entrust this to personal supervision and approval of a trusted person. This mayappear to be heretical initially, but it is necessary to understand that complex procedures arerequired only for large organisations, where there is a gap between ownership and execution.
In view of this, it is suggested that Pani Samitis may consider designing their procedures alongthe following lines;
• Purchases decisions above a certain amount (say Rs.5,000) to be made only with the consentand involvement of three persons from the Pani Samiti.
• Such purchases are supported by a cash memo/bill and delivery slip/challan.• The payment is made only by account payee cheques/draft.• A stock register is kept to track items purchased and stocked on site.
For construction contracts, standard formalities and procedures would apply. However, thereshould not be any insistence on tendering. The Samitis should be allowed to exercise theirjudgement as to how they would like to go about this.
Both with procurement and construction contracts, Pani Samiti members need to avoid conflictof interest. Where any purchase/contracting is to involve a Pani Samiti member's business (or arelative), then this needs to be disclosed. The Pani Samiti member should also not participate inthe decision-making related to this.
10.4 Financial
10.4.1 Flow of Funds
Both Government and Netherlands funds will pass from GOG to WASMO Head Office that willbe the disbursement point for funds received. WASMO will disburse funds in three categories:
• Village development funds• Programme facilitation funds• WASMO operational funds
The flow of Programme funds is shown in Figure 10.1.
Fees
Kev
Operational
Financial
Pani Sairhitr
Field Worker
VillageSupport Unit
NGOs
:Nether|andsi::|
Figure 10.1
Flow of programme Funds
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As these funds are coming through GOI, they will not be classified as foreign contribution interms of exemption contained in Section 30 of the Foreign Contribution (Regulation) Act 1976.These funds can therefore be freely received and disbursed by WASMO, NGOs and PaniSamiti/Gram Panchayats without FCR permission.
There are several reasons for designing the flow of Programme funds in this way.
• Village communities need to execute work and make payments for them to develop a senseof ownership and control. For this, village bodies will receive funds directly for villagedevelopment works and Pani Samiti overheads direct from WASMO.
• This avoids the complex logistics of centralised procurement and delivery of materials tovillage locations. It confines WASMO's direct contractual interface wiili suppliers,contractors and labour to its internal requirements only. Thus, it partially tackles the designconstraint related to WASIviO being treated as an extension of 'siaie* at some stage.
• The bulk of Programme funds will be available with Pani Samitis and NGOs. There will bereasonable choice in implementing accounting and control procedures to suit theirorganisational structure, capacity and operating environment. This is likely to help theproject move" forward at greater speed. Such flexibility would not be available if these fundswere spent directly by WASMO with its genetic proximity to Government accountingsystems.
WASMO would make an initial advance operational funds to NGOs and then six-monthly inaccordance with the NGOs Programme Action plan and budget. Subsequent instalments wouldbe based on funds spent, balance available and the amount required for the next half-year. A six-month period will help to avoid the possibility of.frequent fund flow delays and reduceadministrative work for WASMO.
WASMO would initially release funds to Pani Samitis for the first six months. The firstinstalment would be 10 percent (limited to Rs.25,000) and would be released after each village'sdecision to join the Programme. This would be by way of an incentive and expression ofcommitment from the Programme. Subsequent instalments would be optionally advancedquarterly or six monthly depending on the value of work to be implemented, funds spent andbalance available. However, Pani Samiti will be required to account for expenditure and reportprogress quarterly. The release of funds will be linked to the physical progress of work for whichthe recommendation of the supporting NGO will need to support the Pani Samiti's request.
10.4.2 Pani Samiti
Villages will receive funds directly from WASMO Head Office as grants. However, there mayinitially be some difficulty handling funds at the village level, primarily because of lack ofexperience in handling large amounts of funds. Some may also need help and guidance infinalising contracts, where they decide to work through contractors. For the most part, PaniSamitis should with guidance, be allowed to develop their own financial procedures and controls.
Pani Samitis will need to understand that their proced'jres will have to meet minimumaccounting and audit standards including proof/support for all expenses. In some cases, thiscould be cash memos/bills or hand-written slips. In others, it would be muster rolls or paymentsheets. In all cases, the proof/support should be prepared or signed by the payee and there shouldbe sufficient information to identify/locate him or her. It will be desirable that reviewers andauditors focus on the substance (rather than form) of Pani Samiti transaction/accountingdocuments.
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The Pani Samitis will also work out procedures to keep and handle cash. In many cases, theywould benefit from existing Panchayat procedures.
The following may help reduce the risk of financial mismanagement at village level:
• Funds to be handled by formally constituted Pani Samitis that function under the VillagePanchayats. Where the Village Panchayat is not active or available, an alternative Pani Samitifor the village may be formed and registered as a society.
• The funds should be credited to a bank account in the name of the Pani Samiti. Whererequired, the bank account can be opened (by a resolution of the Village Panchayat) in thename of 'the Village Panchayat - account Pani Samiti'. This would mean that the VillagePanchayat has nominal control over and accountability for the funds, while the Par.: Samiti cfthe Village Panchayat will actually operate the account.
• Once the Pant Samiti has been formed and the bank account opened and this has beenconfirmed by the Coordination, Monitoring and Support Unit (WASMO) in consultationwith the NGO, then the Coordination, Monitoring and Support Unit would advise WASMOHead Office which would then transfer 10% of the grant amount (but not exceedingRs.25,000) to the Pani Samiti's bank account This would act as a catalyst in galvanising thePanf Samiti and help get the planning of improvement works and preparation of the villageAction Plan under way.
• The rest of the grant funds may be released in 2 to5 instalments, based on actual progress ofthe work and need for funds, as provided for in the Village Action Plan.
• Pani Samiti may retain a local person or someone from a nearby town to help in maintainingsimple accounts for the funds handled by it.
10.4.3 NGOs
NGOs would treat funds received from WASMO as any other grant - no special procedures arerequired. However, it is suggested that WASMO may ensure that the NGOs do not open aseparate bank account or separate cashbook for these funds. This can encourages overlap or dualaccounting of same expenses in different project cashbooks. They may account for funds in themain cashbook, and use a separate sub-ledger to help track their use. NGO accounts will need tobe independently audited and reported to WASMO.
10.4.4 WASMO
Financial operations for WASMO will be of two broad categories. The more specific needs ofESCs are considered separately.
WASMO Operational Expenses
Firstly, there are WASMO's operational expenses (Head Office and Coordination, Monitoringand Support Units) such as salaries to staff, event costs, overheads etc. These are routine andneed no special comment Those for CMSU can be handled directly from the bank account ofeach, with the exception that salaries will be paid by bank transfer from WASMO's Head Office.
- * •
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Grant Approval and Disbursement
The second component of WASMO's financial operations is grant approval and disbursal byHead Office. It is expected that these funds will make up more than 90% of the total flow-through and may amount to Rs.50 crores each year.
WASMO Head Office will control these funds. The funds will be released to NGOs and PaniSamiti on advice of the Coordination, Monitoring and Support Unit. Where feasible, the fundscan be transmitted by bank transfer to NGO/Pani Samiti bank accounts. Where this is notfeasible, the funds can be remitted by bank drafts favouring the NGO or Pani Samiti. Thefeasibility of sending these directly to the NGO/Pani Samiti by registered post/courier can alsobe studied. Coordination, Monitoring and Support Units would be informed whenever funds arctransmitted.
10.4.5 Engineering Support Cells
Repair and Reconstruction
Initially, there will be a sub-component for Earthquake Repairs and Reconstruction. Fundsfor this work can be managed by the first CMSU, taking advantage of the opportunityprovided by the autonomous set up of WASMO to develop simpler, less restrictive and moreappropriate procedures and systems.
For the repair work, simple procedures should be applied given the nature of this work andneed for flexibility and speed. Several teams will handle the repair work. Each team can begiven a cash imprest for purchasing materials and paying local labourers/workmen. This canbe replenished each time the team reports back to the Monitoring and Support office andsubmits an account for the amount spent supported by a statement of expenses, cash memosfor supplies and muster-roll sheets for labour payments. A sign-off by three prominentvillagers (with their names) and the supervising engineer may be obtained as confirmationof the work done, along with photographs of the work. A separate voucher can be preparedfor each village, and filed along with the above supporting documents.
For reconstruction work, some may be funded and organised as for repair work while biggeritems may be organised with local contracts. For contract work, simple procedures shouldalso be adopted given the need for flexibility and speed of implementation, but withoutcompromising performance and quality.
Pani Samiti Support
ESCs will function on a commercial basis for the support of Pani Samiti in-village improvementworks. The ESC will receive payment from Pani Samiti for services rendered. They will alsohave operational expenditure to be met for which there will always be a time-based deficitbetween income received and expenditure incurred. There may also be some deficit betweencollective income and expenditure. The CMSU to which each ESC is attached, will provideinitial working capital and also make up any operational deficits from budgeted Programmefunds.
10.5 Personnel and Administration
Personnel and office administration for WASMO is greatly reduced in that the bulk ofexpenditure and operations have been transferred to village level Pani Samitis. The organisationstructure of WASMO Head Office and the Coordination. Monitoring and Support Units was
52
discussed in Chapter 9. WASMO should also invoice its relative autonomy and consider de-emphasising and simplifying formal personnel and administration procedures to allow moreflexibility and initiative at the district level.
NGO personnel structure for the Programme was earlier detailed for which no specific oradditional administration procedures are needed. This aspect would however, be reviewed at thetime of NGO selection.
At the Pani Samiti level, a part-time accountant would be required to write-up account books.Other functions (cash handling, decision-making, and coordination) would be based on existingPanchayat procedures or developed according to need It may be noted that the economic valueof time contributed by the Pani Samiti towards administering the Programme forms a real andtangible contribution by villages.
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11. PROGRAMME ACTION PLAN
11.1 Programme Approach
11.1.1 Repair and Reconstruction
A total of 1260 villages in 19 talukas of five districts have been allocated to the Programme onthe basis that they were subject to some degree of earthquake damage (refer Table 3.1). Amongthe 1260 villages, a small number (may be 50 villages) are in need of urgent reconstruction to re-establish at least a basic pipe water supply. In a further unknown number of villages (may be 300villages), it is anticipated that basic repairs could enable the temporary re-establishment of pipewater supply. In both situations, a general pre-requisite is that the source of pipe supply isfunctional or can be readily made so.
This work would be used to kick-start the Programme as soon in 2002 as establishmentorganisation, i\sources and funds permit. It would be undertaken with the participation of villagecommunities, but not with the management of communities. There will not be time to establishthis capacity. Subsequently, the Programme will return to the same communities to carry out thebalance of the Programme's objectives.
11.1.2 Phase One Implementation
Application of the Programme methodology on a Programme scale is new and will henceinvolve an initial learning period when it is put to test. Additionally, WASMO is a neworganisation with a new organisational concept yet to be tested. It will have its ownestablishment uncertainties and difficulties to contend with. Because of these basic limitations, itis proposed that the Programme be implemented in two phases. The first phase will be a'learning period' for which it is proposed that implementation be restricted to 200 villages.
For logistical reasons, it is desirable that these 200 villages are chosen from a contiguous areawith access to a functional district or taluka centre. They also need to provide a reasonablerepresentation of Programme villages and village circumstances. It would be operationallydifficult and undesirable during a learning phase, to have selected villages scattered throughoutthe Programme area.
While it would in principle be preferable to start implementation in all five districts of theProgramme area, because the Programme is development orientated, rather than the originalreconstruction orientation, there is not the same urgency for coverage. Another one or two yearsdelay for most villages, while very undesirable, is manageable and not critical.
The provisional proposal is that the three contiguous talukas of Rapar (97 villages) and Bhachau(69 villages) in Kutch district and Malia (47 villages) in Rajkot district (total 213 villages) betaken into Phase One Implementation. It is suggested that Bhachau town be used for the firstdistrict level operational base for the first CMSU and attached ESC. This selection of villagesincludes representation from Kutch in the north and an area in the south with a full range ofvillage earthquake damage. Housing in some villages in Rapar taluka were almost completelydestroyed while those in Malia taluka suffered little damage. There also several NGOs known tobe working in these areas with water and sanitation experience. The Programme may identifyreasons for varying this selection.
11.1.3 Phase Two Implementation
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It is proposed that Phase Two Implementation in the balance 1060 villages will proceed on thebasis of Phase One Implementation experience. Two additional district bases with CMSUs andattached ESCs are envisaged with one logically located in Bhuj and the other in Morbi or analternative suitable location for work in the affected talukas of the other four districts. As earlierdiscussed, the full extent of actual Programme coverage to be achieved will depend on thedemonstrated performance capacity of the Programme. It will also depend on the number ofvillages that stay with the Programme and do not withdraw or fall out due to lack ofperformance.
11.2 The Action Plan
The proposed Programme Action Plan has four components with three representing the stagedimplementation programme. The components are:
• Programme Establishment (months 1 to 3; duration 3 months) - Programme establishmentleading up to introduction of the Programme to the first Programme village,
• Phase One Implementation (months 4 to 21; duration 18 months) - Programme developmentand learning period with a working target of 200 villages.
• Phase Two Establishment (months 16 to 36?; duration 21? months) - Programmeimplementation with the balance 1060 villages.
• Repair and Reconstruction (months 1 to 12 maximum; duration 2002) - Special Programmeactivity to meet residual immediate needs associated with earthquake damage.
11.2.1 Planning Limitations
A number of variables make it difficult to be give the Action Plan a reliable calendar timereference. These are:
Time for formal approval - the earliest that formal approvals for the proposed Programme can becompleted is the beginning of March 2001. The stages involved in achieving this time are:
- GOG formally receives Programme proposal from RNE 20 December 2001- Agreement between GOG and RNE on issues 03 January 2001- Time for GOG to process 02 February 2002- Time for GOI to process 02 March 2002- Sideletter and agreements GON/GOI 15 March 2002
This timetable does not allow for any significant processing delays associated with questions tobe clarified and/or procedural matters to be resolved. A more conservative and possibly realisticestimate would be 31 March 2002.
Completion of WASMO establishment formalities - This process started 23 March 2001 withthe Government Resolution providing for the establishment of WASMO. Final approval from theMinistry of Finance, GOG is still required and then WASMO needs to be registered as a society.Calendar estimates given for these activities were end of November and end of December 2001respectively.
Functional capacity of WASMO - the staff of the earlier Community Management Support Unitare nominally fulfilling the role of WASMO pending final establishment formalities. These staffhave limited capacity and have been dependent on outside agencies and consultants for much of
55
the development work associated with the formation of WASMO. To set up this Programme willplace additional demands on available personnel.
The ability of WASMO, once formalised, to rapidly build up staff numbers of appropriatedisciplines and experience will have a significant bearing on WASMO's ability to get theProgramme under way. Out sourcing Programme development components can be done, butexperience demonstrates that the risk of product not meeting requirements and expectations maybe significantly higher than if developed in house in a coordinated team environment. Theexception is to have out sourced personnel work for the duration of their assignment in housealongside the development team.
Tn nrp-empt Programme establishment tc gain time with limited resource^, key aspects ofProgramme establishment can be initiated in anticipation of need. For instance, the recruitmentof first NGOs for Phase One of the Programme. This initiative is noi unreasonable, provided it iskept in time context with complementary Programme development requirements also attendedtc.
Programme implementation rate - the rate of coverage of villages by the Programme can only beestimated at this stage. It is unlikely to be any faster, but could prove to be substantially slower.
With consideration for these observations, Figures 11.1 A&B shows a provisional ProgrammeAction Plan assuming a mid March 2002 start date. The activities involved in each phase,requirements for their achievement and the possible range of performance for each are discussedin following sections.
11.2.2 Planning Systems
The need for well structured Programme planning with realistic time scales is also emphasised.This will only be realised when there is detailed understanding of the Programme with main taskclearly identified and sufficient depth of sub-task analysis made. Only then can time andresources be matched up against task/sub-task requirements. Only by undertaking this level ofplanning can the full implications and requirements of the Programme be understood.
It would be beneficial to use a Project Management computer programme such as MicrosoftProject for this. This of course then becomes an important management tool enablingProgramme progress to be tracked in detail and adjustments recorded. The relatively independentdiscrete grouping structure of the Programme lends itself well to such planning. Considerationcan also be given to the introduction of a Geographic Information System to complement thisapproach to Programme planning and directly support Programme monitoring and reportingsystems (Chapter 13).
11.3 Programme Establishment (with milestones)
Tt is assumed that WASMO will be effectively functional (staff in place and working) by midMarch 2002 to enable the three-month duration of this establishment stage to be achieved. It willinvolve the three primary tasks of Programme Preparation (22 weeks), ImplementationPreparation (8 weeks) and NGO Contracting, Orientation and Training (12 weeks). These taskswill overlap as indicated in Figure 11.1 A and include the assumption that ProgrammePreparation will be able to start at least some two months in advance of the Programme beingformally established. The tasks are listed together with principle sub-tasks in Table II . I.
Qtri.awaTnkNgnw
11
11
ITIT13
1?
IT
~TT"
IT
aa
aa
3
PROGPAMME APPROVALS
WASMO Rajtatertd
WASMD Personnel Recruitment
OB 2,2003 Qtr3. 2001Jan I Fab I Maf | Apf 1 Miy | Am | M | Atg | Sap [ Oct | Nov | Dae
QUA, 2002
: Programme Approval/Start
1 PROGRAMME ESTABLISHMENT
: Programme Preparation
; Implementatloh Preparation
NQO Contracting & Set Up
Guidelines/Procedures Prepared
NQO* & CMSU Set Up
PHASE ONE IMPLEMENTATION
Community Mobilisation
Community Planning Organisation
Work Implementation
Performance Review
Phase Two Decision
PHASE TWO IMPLEMENTATION
Community Mobilisation
Community Planning Organisation
Work implementation
REPAIR & RECONSTRUCTION
ESC 3*1 Up t Work Planning
Rapak Wort ImplarrMnted
RaconitreiettonWdrk
Qtt 1.2001 ] Qto 2,2003
Figure 11.1A
Programme Action Plan
10
lit
11
M
ITIT
"is"
I f"
15"
14
aWaaa
a
aaa
Tnkttam*
PROGRAMME APPROVALS
WASMO R*gttt*r*d
WASMO Personnel Recruitment
WASMO H.O. Functional
Programme Approval/Start
PROGRAMME ESTABLISHMENT
Programme Preparation
Implementation Preparation
NGO Contracting & Set Up
Guidelines/Procedures Prepared
NGOa ft CMSU Set Up
PHASE ONE IMPLEMENTATION
Community Mobilisation
Community Panning Organisation
Work Implementation
Performance Review
Pluto Two Decision
PHASE TWO IMPLEMENTATION
Community Mobilisation
Community Planning Organisation
Work Implementation
REPAIR & RECONSTRUCTION
ESC S« Up t Wo* Rwmttg
Rtpalr W o * hnph
RKORStriKtlonVWrit
OtrJ. 20tOJul 1 Aufl 1 Stp
QhA.7003Ot( | Nov 1 Dec
CHri 2004Jw | Fib I M»r
Qtf2. M04M«y j Jun Jul { Auu I S»t>
Ob 4.Pel I Nc feh Otr 1.2005
3 m | Firfa | MarQtr2. 2005
May | JUI
JH .,; cz
. '--.I..;., , j y;
Figure 11.1B
Programme Action Plan
Table 11.1
Programme Establishment Activities
A: Programme Preparation (22 weeks duration)
B:8
Establish detailed roles and responsibilities for all parties involved in the ProgrammePrepare information, documentation and organisation for all levels of Programme orientation "Prepare Programme orientation and administration documentation for village requirementsPrepare implementation guidelines and administrative procedures for all NGO operationsPrepare operational guidelines for community management, action plan and budget activitiesPrepare operational guidelines for CMSU monitoring and support activitiesPrepare an initial operational MIS designed for the specific requirements of the ProgrammePrepare a Programme performance and financial accountability monitoring system with operational guidelinesSet up Programme funding procedures with operational guidelinesPrepare Programme management and reporting processes and guidelines
Set up CMSU, recruit personnel and establish administrative procedures and guidelinesSet up the ESC and prepare procedures and guidelines for use of their services
Implementation Preparation (8 weeks duration)
Select working areas and phasing of areasIdentify individual villages (concentrating on initial work areas)Identity basic characteristics of initial villagesCategorise and group villages for NGO allocation in work areasPrepare support action plans for each NGO work area
C: NGO Contracting. Orientation and Training (12 weeks duration)
Identify known NGOs (and institutions) with potential to support Programme - local and nationalPrepare Programme documentation to support invitations to NGOs - Programme description, objectivesoutline methodology, NGO selection criteria, budget line items for guidance and work areas with village details
Establish criteria for selection of NGOsInvite NGOs to quote for work areas based on units of Village Support Teams - respond with information onexperience, size and capacity, understanding of Programme, concerns and costs
Assess responses and make independent inquiriesAssess quotes, negotiate and finalise selectionsSet-up annual contracts and operational/financial procedures with selected NGOsGroup orientation and initial training sessionsNGOs prepare first year Work Plan for their work areasNGO Work Plans reviewed & approved by WASMO
WASMOWASMOWASMOWASMOWASMOWASMOWASMOWASMOWASMOWASMO
WASMOWASMO
WASMOWASMOWASMOWASMOWASMO
WASMOWASMO
WASMOWASMO
WASMOWASMO/NGOsWASMO/NGOsWASMONGOsWASMO
office/district workofficefield + reliable recordsoffice/district workofficeofficeofficeofficeofficeoffice
officeoffice (+ field?)
office/district workoffice/district workfield + reliable recordsofficeoffice (+ field?)
office inquiryoffice
officeoffice/advertise
office +• inquiryofficeofficetrainingNGOsoffice
3226443312
108
Weeks I to
1 1 11 1 13 4 41 5 53 8 8
1 1 33 4
1 4 73 7 9
1 8 68 10
1 9 111 10 112 11 131 12 14
59
Programme establishment is dependent on quality preparation with the importance of w<-Hfounded good quality preparation for effective Programme implementation to be emphaarimrfThis of course requires functional resources to be in place or accessible, and in particular,personnel with the required expertise and experience. For this, the early functional establishmentof WASMO Head Office will be critical. The concurrent establishment of the first Coordination,Monitoring and Support Unit and contracting the first NGOs must also be achieved to ensure theavailability, of district level support as Programme implementation gets under way. The advanceestablishment in January of the first Engineering Support Cell with core personnel is required forthe repair and reconstruction component of the Programme.
Milestones to be achieved are:
• Programme Approval to enable the Programme to formally start• WASMO H.O. fully funciittnai to enable Programme establisliivieui to proceed
• Guidelines/Procedures prepared to enable Programme implementation to proceed• CMSU and NGOs set up for Programme implementation
i
If the work required for these milestones is only partly achieved, then implementation ofsubsequent activities will be compromised with consequent performance limitationsAlternatively, the timescale of the programme can be extended while establishment activities arecompleted. Both are to be avoided.
11.4 Phase One Implementation
It is anticipated that four NGOs will be contracted on the basis of being allocated about 50villages each. Each NGO will set up two Village Support Units responsible for at least 25villages each and recruit five Village Workers to work with each Village Support Unit. VillageSupport Units will introduce villages into the Programme sequentially, although villages may beclustered to some extent for operational benefit The Programme Action Plan (Figure II. I A)shows the implementation time for the first village with the first part of each split sub-task withthe balance of the sub-task bar indicating the time for the sub-task to be completed in all 25villages. With each sub-task, six months is allowed for the 25 village overlap additional to thetime required for the first village.
A total implementation time of two years is assumed for Phase One Implementation, with 12months nominally allowed for the implementation of works in each village (refer Figures 11.1A&B). For responsive villages, it is proposed that some latitude be exercised for works with theProgramme prepared to extend this (and if appropriate funds) to enable approved works to becarried out. The concept of additional reward/incentive for productive performance should beencouraged.
The planned times are initial estimates only. During Programme Establishment, these timeestimates should be kept under review and if necessary be adjusted to reflect the increasingappreciation of the implementation detail of the Programme. Importantly, time estimates shouldbe reviewed with the NGOs contracted for Programme implementation support both at the startof implementation and through the course of the first twelve months 'learning' period.
One year after the start of implementation, it is proposed that an in-depth review be made of theProgramme. On the basis of this review, a Phase Two Decision needs to be taken. This iswhether to continue with the Programme into Phase Two Implementation and if so, whether anychanges in organisation, procedures, implementation methodology or intended implementation
60
scale needs to be made. It is proposed that the one-vear review time be retained, regardless of therate of implementation progress achieved. The Programme should not be allowed to drift.
11.5 Phase Two Implementation
The implementation of Phase Two and how this proceeds, will entirely depend on the outcomeof the Phase One Implementation performance review (after 1 years implementation). Figure1 LIB nominally indicates a two-year implementation period through to July 2005. On the basisof Phase One planning, nine NGOs and up to an additional 28 Village Support Units (total 36; 8+ 28) would be required. This assumes all of the balance 1060 villages would be covered. Inreality, this is considered quite unlikely for the reasons discussed in section 9.3.1.
11.6 Repair and Reconstruction
Preparation for water supply repair and reconstruction work is anticipated to proceed as soon asWASMO has been formalised, with establishment of the core group of the first EngineeringSupport Cell. It is assumed this, together with organising repair teams and work planning, can beachieved in the.first two months of 2002 while the Programme is being formalised. The objectivewould be to have work start by March 2002.
Repair work would start immediately and continue throughout the dry season attempting tomaximise benefits for most needy villages (and save on tanker costs for the Government).Essential reconstruction work would take longer to investigate, design and organise. Provision ismade for this to start by May and continue throughout the balance of 2002. This conclusion willcoincide with the planned start of the first community managed implementation work. Therewould be some overlap for the ESC with design and organisational support for the first of the in-village work during the preceding three months.
As well as the direct benefits of the repair and reconstruction work, there would be additionalbenefit for the ESC in the experience gained form working in and with Programme villages.They would also be able to gather valuable technical observations from villages visited for lateruse.
. ^ « f c S s # ? • • • • . , - .
61
12. PROGRAMME COSTS AND FUNDING
12.1 Programme Costs
Programme cost estimates total Rs 24.62 Crore for Phase I, Rs 137.79 Crore for phase II andtogether total Rs 162.41 Crore for the whole Programme. The make-up of these costs aresummarised in Table 12.1 with supporting detail in Appendix 2A for Phase I and Appendix 2Bfor Phase II.
Table 12.1Programme Costs
(Rs. Crore)
Phase I Phase II TotalsA: In-Village Capital Costs
Pipe Water Supply ImprovementsLess 10% Community ContributionLess 5% Salvage ValueTraditional Water SourcesSanitation ImprovementsIn-Village Running CostsPani Samiti OverheadsInitial O&M Costs
Community Support CostsB: NGO Facilitation CostsC: CMSU Operational CostsD: ESC Operational Costs
E: Repair and Reconstruction #Sub-total
F: Contingency, Inflation etc @ 10%Programme Totals 24.62 137.79 162.41
Note: # Reconstruction capital costs met from village pipe water supply costs.
Total in-village costs represent 73 percent of Programme costs with community support costs 17percent and repair and reconstruction and contingency 10 percent The ratio of in-village tosupport costs is 4.3 to 1.
12.1.1 In-Village Capital Costs
• Pipe water supply improvements (part item A) covers the full range of works involved: i.e.reconstruction (item E works), reconstruction augmentation, augmentation of existing systemsand new development works. These estimates are based on the water supply reconstructionestimates made by GWSSB for the 1260 villages of the programme covering source works andall pipe system works including cattle troughs. In keeping with the sector reform objectives, a ten
. percent contribution form benefiting communities is assumed. A five percent allowance is also
7.70-0.77-0.396.004.00
0.480.77
17.80
1.880.910.58
1.2122.38
2.24
40.81^.08-2.0431.8021.20
5.098.16
100.94
17.603.962.76
0125.26
12.53
48.51-4.85-2.4337.8025.20
5.578.93
118.73
19.484.873.34
1.21147.64
14.76
62
made for the reuse and repair of undamaged parts of damaged pipe systems (salvage value) inthe expectation that only damaged components (reconstruction) or components requiring to beenlarged (augmentation) will be replaced
Estimates for traditional water resources assumes work in all villages with an average lump sumof three lakh provided for each village. Rehabilitation of village tanks has been demonstrated tocost around two lakhs. Sanitation estimates assume soakpits and latrines will be installed in tenpercent of households, drainage works in six percent of villages and demonstration sanitationblocks (institutional) and compost pits in all villages.
An allowance is included for Pani Samm' community management running costs and initialassistance with the operation and maintenance cost for facilities while communities adjust tcbeing responsible for all water and sanitation facilities in the village. Fees to be paid by PaniSamiti for the engineering services of ESCs will be met form estimates for capital expenditure ofwater and sanitation components.
. • - ' i - . • . = .
12.1.2 Community Support Costs
For all three categories, namely NGOs, CMSUs and ESC services, there are commonexpenditure components of salaries and benefits, office overheads, travel costs and capitalexpenditure on transport (vehicles, motor cycles/mopeds and bicycles) and office equipment(computers, communication, copiers etc.) and furnishing. NGOs and CMSUs will haveadditional training and meeting costs associated with their work and responsibilities.
A critical component of the programme will be the need for all people working in the field withvillage communities or needing to visit villages to have reliable transport available to them. Tolimit this capacity will be to limit the capacity of the Programme to function, with consequentinevitable restriction of performance. However, all personnel will need to be able to demonstratetheir effective care and use of Programme provided transport Similarly, there needs to befunctional communication capacity between all parties with the Programme making provision forthis to be achieved. Computer equipment is also provided to enable efficient Programmemanagement, MIS and reporting, and effective monitoring of Programme performance-.
All three categories have a cost allowance for outsourcing specialists, supplementary engineeringservices and short-term personnel to meet specific needs. They will be sourced by and workalongside the staff of the concerned Programme organisation. Their inclusion will be providedfor in each organisation's annual budget with recruitment under the control of the concernedorganisation subject to complying with established criteria.
12.1.3 Repair and Reconstruction
Provision is made for a similar range of expenditure including the purchase of six vehicles, onefor each repair team. The vehicles will be passed on to the Phase Two Engineering SupportUnits. Local lab^^will be hired to support repair teams with provision for included for purchase4if rap^ maierial^Jliei^ of nxonstniction work is included as part of the cost of in-village
63
12.2 Programme Funding
Should the Government of Gujarat and the Government of The Netherlands jointly fund theProgramme, it is assumed that this will be in the usual proportions of 10:90 respectively. For theestimated Programme costs, this would involve:
Rs CroreTotal Programme costs (rounded up) 165.00
Government of Gujarat and Government of India 10% contribution 16.50Government of The Netherlands 90% contribution 148.50
Programme Total (Rs Crcre)
Programme Total (Million Guilders at 1:20)
In that all villages covered by the Programme are earthquake affected, it is proposed that theGovernment of The Netherlands seeks the agreement of the Government of India to waive theusual deduction made by Central Government. This would be in keeping with the dispensationthat is understood to have been accorded other projects involved with earthquake damagedvillages.
12.3 Advance of Funds:
The nature of the Programme necessitates the conditional advance of grant funds to NGOs andPani Samiti in instalments. Neither party will have the resources to proceed with the Programmeusing their own resources. The Government of Gujarat will need to make government fundsavailable to WASMO to enable Programme advance payments to be made. To ensure the flow ofadvance funds, it is suggested that the Government of The Netherlands consider a departure frompast practice of reimbursement and initially release an advance to cover Phase One costs to theGovernment of India and replenish this quarterly on receiving suitably verified expense claims.This would involve adequate financial, physical and performance verification in support ofreplenishment claims. GON would reserve the right to hold back replenishment payments in theevent of receiving unsatisfactory claims. The arrangement would be reviewed for Phase Two.
64
13. MONITORING AND REPORTING
13.1 Significance
The life force of community based programmes such as this proposed Programme, is the qualityand ease of communication and information flow between parties. Further, the effectiveness andadequacy of Programme management and performance accountability are totally dependent onthe quality of information available and only secondarily, the quantity.
Information required to be provided in a timely and organised manner with Programmemonitoring and reporting systems. In doing so, it is important to differentiate between specificinformation necessary for monitoring and reporting management and information of a moregeneral nature (data) but useful in providing further understanding and explanation. This latterinformation is best collected and processed on a survey basis.
Monitoring and reporting systems need to be well thought out, designed for the specificrequirements of the Programme (not borrowed and adapted) and involve only necessaryinformation. The temptation to use them to collect additional 'useful information' is to beavoided. They are a management tool.
There are several levels of information management proposed for the Programme:
• Community Managed Information - information generated within villages and processed forthe benefit of their management of in-village Programme activities.
• Management Information System - the system to keep track of overall Programmeoperations and enable effective informed management by all parties at all levels.
• Performance Accountability - the process of verifying physical progress and acceptableexpenditure within the Programme to enable continuing fund flow and Programme benefits
• Fund Flow Monitoring - to monitor and account to all Governments for the use of fundstogether with supporting evidence of planned progress and benefits achieved.
• Programme Reporting - a system of systematic reporting with supporting monitoring resultsto record Programme progress, problems and decisions and support management meetings.
• Programme Review - by both Government and independent Third Parties to identify issues,help resolve problems and provide objective policy and management guidance.
The Programme has a dispersed design with each village being an essentially independentoperational unit within the Programme. The management linkage of a conventional hierarchicalorganisational structure is not provided. The Programme will use its monitoring andcommunication systems for this purpose. This emphasises the importance of these systems to theProgramme. They must be designed and put in place from the outset of the Programme and notbe a task to be done later when the programme gets under way, as has so often happened withpast projects and programmes. WASMO Head Office with the support of the first Coordination,Monitoring and Support Unit, will be responsible for ensuring this is done.
13.2 Community Managed Information
Community management of in-village sector systems will result in communities being a primaryfocus for information flow and performance monitoring both externally from the programme andinternally,from community members. Internally, much of this will be unstructured throughinformal observation and discussion but also through community meetings. External monitoring^"^b^X^^^^^J^mgaaaA Information System basis. The Pani Samiti will be
of routine formal monitoring and reporting as part of their* p r o g r a m m e .
65
Basic topics of significance for both informal and formal monitoring will include:
Progress with Pani Samiti establishment and Programme organisation in villagesProgress with work organisation and implementation in villagesQuality of all aspects of community managed Programme activityFinancial performance of Pani Samiti managementAdequacy of water and sanitation planning within the communityRepresentation of disadvantaged groups within communities
A key feature of the informal process will be the ready access of all the community to thecommunity management process and the information associated. For instance community plansand village Programme financial information can be permanently displayed and regularlyupdated in the Gram Panchayat oiHce together with regular community and as appropriate, sub-group meetings. These will be key responsibilities for Pani Samiti management. The adequacy ofthese processes will be monitored externally.
13 J Management Information System
iThe Programme Management Information System (MIS) will provide information about{Programme performance and provide the information for making Programme management* decisions. The MIS uses 'information' that is used for decision making as compared to 'data'1 collected as historical records for uses other than decision making. The 'system' component isj the process of linking Programme organisational components through information exchange' between all components.
I 'WASMO Head Office needs to be responsibility for the Programme MIS with district level I /CMSU having secondary responsibility for their Programme areas. This responsibility willinclude the evolving design of theMIS, its application and its operational management. It will be • >kept simple and functional and with design restricting the volume of management information tothat required for each organisation group at an appropriate frequency. Too much information andinappropriate information will result in a tendency to not use the MIS beneficially. There mustalso be provision for effective feedback mechanisms to enable management decisions topromptly reach those concerned.
The MIS must be well planned with the ability to be responsive to Programme experience. Thedetail of the MIS will evolve and change as the MIS adapts. Someone must be responsible toensure this can happen. Provision for a WASMO Head Office operational support positionresponsible for monitoring and reporting has been proposed (section 9.5.3). The MIS must havethe following requirements clearly established:
• Statement of Mission and Purpose - a system of Programme information flow to enableinformed, timely and integrated management of all aspects of the Programme.
• Objectives of the MIS - to monitor performance and enable management decisions tosupport and correct as required Performance will include and relate to availability ofresources and funds, quality of organisation and planning, quality of implementation andwork, operational functionality of facilities, achievement of benefits and target groups, use offunds and accounting for expenditure, programme support provided and monitoring andreporting. Performance will concern progress achieved, problems arising and fundamentalbottlenecks holding the Programme up.
• Strategic Plan for the MIS - needs to be developed as the basis for following conceptual anddetail designing of the MIS
66
• Operating Plan for the MIS - is needed to guide its application, decision making use,maintenance, ongoing development and periodic evaluation.
The structure and initial detail of the MIS will be determined from these requirements with theoperational detail further evolving from application experience. The MIS needs to be developedin-house and if external assistance is required, the personnel concerned need to work withWASMO in-house in direct contact with Programme personnel and circumstances. Training ofall parties in the operation and management use of the MIS will be an important responsibility ofWASMO staff
13.4 Performance Accountability
13.4.1 Accountability
All parties involved in the Programme will need to be accountable and be seen to be accountablefor their performance as organisations and within organisations, as individuals. The MIS systemwill support this process as an essential monitoring tool. However, an over-riding feature will beProgramme accountability in both physical and financial terms. The primary focus of this will bethe community managed Programme activity in each village and the need to account for fundsadvanced and verify that work claimed has been achieved, both in fact and quality. Monitoringthis will be the responsibility of the Coordination, Monitoring and Support Units.
For this work, Unit staff will need to visit villages in person and by direct observation confirmclaimed information, together with inspection of village records. Pani Samiti will be required tomake claims on a quarterly basis reporting expenditure of funds earlier received and progresswith the implementation of their Village Action Plan. Their visits will also be important forstrengthening relationships at a personal level between the CMSU representing the Programmeand village communities.
The significance of this is that it is proposed that each instalment of grant funds to villages bedependent on performance accountability being successful with reference to Village ActionPlans.
13.4.1 Financial Monitoring
Coordination, Monitoring and Support Units will routinely monitor Programme funds spent byPani Samiti in consultation with NGOs. However, NGOs would not be directly involved, as thiswould be in conflict with their facilitating role, although not affecting their capacity to reviewthe physical progress and quality of community managed work. Similarly, both the WASMOHead Office and the CMSUs will monitor the funds spent by NGOs. Funds spent by CMSUs willbe subject to review by WASMO Head Office in addition to internal control through WASMO
13.4.2• • • • . • ^ r y
Funds spent by all Programme organisations (Pani Samitis, NGOs, CMSUs, ESCs and WASMOHead Office) will be subject to financial audit by approved audit firms. WASMO will also haveits own internal audit system. WASMO will be able to commission independent audits for
' • * . - « . " >
Programme fundVwill also lie'subject to Comptroller and Auditor General audit Additionally,^commission a financial audit/review by an independent firm, if
67
13.5 Fund Flow Monitoring
Continuity of fund flow and working funds held will be of concern to all Programmeorganisations. WASMO Head Office will need to monitor this routinely on a quarterly basis withall organisations reporting funding status and anticipated funding requirements for the nextquarter. This may be done more frequently if found necessary. It would not be an accountingprocess.
iieau Office would have the important responsibility of monitoring funds beingreceived from Government and if delayed, in following up to assist with resolution ofdifficulties.
13.6 Programme Reporting
This involves the two complementary areas for reporting of firstly progress and performance andsecondly, financial reporting. The organisational pathways for each are similar involving formaland informal processes with the supporting process of information dissemination. The latter isconsidered further in Chapter 15. The pattern of reporting and information for the Programme isindicated in Figure 13.1.Figure 13.1Programme Reporting Pattern
GovernmentNetherlands
State Newspapers
NGOs
• " , .
^Government of"India
tGovernment ofQtrjarat
tWASMO HeadOffice
t* District Newspapers
A
Coordination,"Monitoring and.̂ Support Unit
Key:
PaniSamttii
GramSabha
Formal Reporting - Informal Reporting - - Information
68
Balance Sheet
Summary Accounts
Coordination, Management & Support Unit
Financial reporting flows back to the source of funds. Progress and performance reportingfollows the same path. It is also proposed that there be a strong element of public reporting, andparticularly financial, through information paths to ensure Programme transparency and enhancecredibility.
13.6.1 Financial Reporting
All Programme organisations will need to make three groups of financial reports:Three or six monthly Financial Expenditure Incurred
Status of FundsFunds Request (or claim)
Annual FinancialIncome and Expenditure AccountReceipts and payments Account
Annual InformationSummary Narrative
And report to: •Pani Samiti" ~'~~
Copy to NGO supporting the Pani SamitiDistrict Newspaper (annual information)
NGOs Coordination, Management & Support UnitState Newspaper (annual information)
WASMO Government of GujaratState Newspaper (annual information)
Coordination, Monitoring and Support Units and Engineering Support Cells will prepare similarreports for WASMO Head Office. Reports received by Government of Gujarat from WASMOwill be forwarded to Royal Netherlands Embassy and Government of India in accordance withexisting procedures.
13.6.2 Progress and Perfonp*nce Reporting
The reporting of Programme progress and performance will be through a combination ofmeetings with minutes and the preparation of written reports. A fairly standard process isforeseen while keeping the frequency and purpose of reporting to manageable proportionssufficient to meet the management needs of the Programme. This process will need to beintegrated with the schediuVof the Programme Management Information System.
• ; ! - • ! .
A Programme reporting schedule could include:
iy/For VisitorsPani Samiti 2 weekly ^ Committee
1 mdnmly^* Committee/Panchayat2 monthly? Community
Committec/PanchayatConunittee/Panchayat
Tognunme Staff^ "' Staff
Field WorkerNGONGO/CMSU?NGO/CMSUNGO/CMSU
nonenoneCMSU
Reporting Report ToMinutes noneMinutes noneMinutes noneReport CMSUReport WASMO/Paper
Minutes noneReport CMSUReport
69
Organisation Frequency Held By/For Visitors Reporting Report ToCMSU/ESC I weekly
1 monthly3 monthly
Programme StaffProgramme StaffProgramme Staff
nonenoneWASMO
CMSU MgrsCMSU/NGOGOG/GON
Minutes noneReport WASMOReport WASMO
MinutesReportReport
noneGOG/GONGOG/GON
WSMOH.O. 1 monthly HO staff3 monthly Coordination6 monthly Programme
13.7 Programme Review
13.7.1 Government
it has been proposed that a Government Task Force be set up to support the Programme (section9.6.2). The Task Force should meet at least six monthly, and more frequently if requested byWASMO to help resolve problems and issues arising. WASMO Head Office would provideorganisational and secretarial services for the Task Force.
13.7.2 Third Party
The Programme is an innovative one with a strong learning component coupled with the need forsubstantial establishment activity. It is considered desirable that the Programme adopt a regimeof periodic independent Third Party review with the intent of providing objective guidance,assess progress and performance and pinpoint issues. This is additional to the anticipated supportof External Advisory Services.
The advantage and potential benefits of objective Third Party review are that the reviewers)come in unencumbered by the detail of the Programme enabling them to more clearly see the'reality' of programme circumstances. Reviews could target the Programme in total, or areas ofspecific concern to the Programme and its supporters.
A review frequency of every six months is initially suggested for the Phase One period with anin-depth review one year after starting Phase One Implementation (section 11.4). The need andfrequency of review support into Phase Two would depend on the outcome of Phase One andlessons learnt.
70
14. EXTERNAL ADVISORY SERVICES
There is a clear need for External Advisory Service (ESA) support to the Programme, primarilythrough support to WASMO Head Office. Terms of Reference for Institutional Support toWASMO for its sector reform support role has already been prepared in anticipation that thiswill be funded by the Netherlands Government. This proposes that an External Advisory Serviceteam will advise and support WASMO to:
• Develop effective policies and strategies (for the sector reform process)• Strengthen the organisational and institutional structure of WASMO• Develop and facilitate community managed RWSS programmes
To provide this service, the Terms of Reference propose a five member team headed by a SeniorAjdvisoF with good knowledge of development issues, rural water supply and sanitation sectorreforms and the multi-disciplinary nature of these. The other four members are identified asexperts in sector related disciplines. These are compared with the basic organisation earliersuggested from this Programme's perspective for WASMO Head Office (section 9.5.3).
Suggested Organisation WASMO HO Proposed EAS DisciplinesSector Manager Senior Advisor
Sector SupportDevelopment Strategies and Policy Institutional, Organisational, Policy ExpertCommunity Managed Development Institutional, Organisational, Policy Expert
Gender, Programme Management ExpertTechnological Development Technical Process ExpertHuman Resource Development Gender, Programme Management Expert
Operational SupportSector Communications Institutional, Organisational, Policy Expert
Gender, Programme Management ExpertMonitoring and Reporting Financial, Monitoring Process ExpertFinancial Operations Financial, Monitoring Process ExpertAdministrative Procedures Financial, Monitoring Process Expert
The match is both good and appropriate. Consideration could be given to strengtheningcommunity management expertise in view of the centrality of this discipline to the sector reformdecentralisation objective, although this need may be mitigated with the existing experience ofNGOs to be involved. The option of sourcing additional expertise for specific short-termobjectives is presumed to be available.
The External Advisory Services proposal is supported and for this Programme to proceed, willbe an important supporting component It would be desirable for this support to be available atthe start of the Programme or as soon thereafter as practicable.
The essential complementary input is of course for the WASMO Head Office to be staffed withnecessary counterpart staff of adequate quality in advance of the support services beingprovided. They can only support if there are counterparts in place to support
71
15. PROGRAMME COMMUNICATION
The need for formal communication systems between all parties with operational, management,monitoring and reporting purposes and objectives has emphasised by this proposal. Programmespecific orientation, training and education are related activities.
The Programme will also benefit from more informal systems of communication. Such benefitswould include:
• For the exchange of useful Programme related information• Sharing of Programme experiences• Sharing and discussion of Programme problems• Programme unification and commonness of purpose• Learning from otherr, nutr.idc the Programme
with a variety of informal systems available for such information exchange including:
Informal community meetings and discussionsProgramme (and other) workshops and seminarsField trips to observe programme activities of specific interest and benefitVisits between communities to share and learn from each otherProgramme newsletters sharing experiences and viewsArticles to newspapers keeping the greater community informedVisiting other projects or being visited by other projects
The Programme concept and sector objectives are new and will involve ongoing learning.WASMO needs to actively encourage and support free flowing communication within theProgramme and beyond to the sector in general. This Programme represents an excellentopportunity for this, drawing on the Programme's 'real life' experiences, both good and bad.Done in an open manner, with the transparent involvement of all parties, can only benefit theProgramme and the wider sector objective of WASMO.
Benefits to be expected by the different Programme groups would be:
• Community - clearer understanding of water and sanitation issues affecting their village,more confidence resolving these for themselves and improved understanding of how theProgramme can benefit them.
• NGQs. CMSUs and ESCs - more competent field staff from sharing experiences andproblems and hence better support to village communities; more consistent Programmeoperation within and between Programme parties with strengthened relationships
• Panchavat System - improved understanding of the Programme by the Panchayatorganisation with resultant enhanced support anticipated; potential for Panchayats to take upaspects of the Programme.
• The Sector - ongoing learning about and improved understanding of sector reforms throughdiscussion and exchange of experiences
« The Public - appreciation of what can be achieved through community managed self-help;raised awareness of the objectives and benefits of sector reform; potential of stimulatingother communities to do similarly
• Governments - better appreciation of the benefits and issues of sector reform from theperspective of the community and Programme workers; topics needing their administrativeattention and support emphasised.
72
While these observations are positive in nature, it is important remember that informationsnaring can also have negative outcomes. This can be constructive if factual. It can also beaestrucuve if not fectual or manipulated. To limit the latter, it is proposed that communicationssystems be open and transparent to the extent practicable, and especially within and betweenrrogramme partners.
73
16. ISSUES, CONSTRAINTS AND RISKS
16.1 Issues
The Programme is not conventional and has a number of issues associated and introduces othersthat it is important to be aware of These are identified and their significance considered.
New Programme Approach and Methodology - the concept of decentralised communitymanaged implementation of village level sector improvements (demand driven) with facilitatinginstitutional support has been a concept under consideration for some years. However, this is oneof the first opportunities to apply the concept on a programme or project scale. It is not proven atthis scale, although there are small-scale examples of its success. Notwithstanding ihis, the \alternative of centralised implementation (supply driven) has in so many instances, simply not \produced resulis. The Ghogha project, from the lessons of which Uiis Programme was conceived, 'is a classical example. 'Learning' will be a fundamental feature, with the phased Action Plan ofthe Programme providing for this.
Community Acceptance - will the community accept the concept and most particularly, theresponsibility offered them? They can not be compelled to accept and it is assumed that at leastsome may not. The initial response is likely to vary substantially between villages. For manycommunities, the legacy of dependency on Government may hold them back, they may lackconfidence, and t{iey may not trust the novelty of the approach, while others may welcome andrise to the challenge. Community acceptance will very much depend on how the Programme is ,initially presented to them. This will need care on the part of the Programme, careful preparation {'and capacity to positively react to community responses. Can WASMO rise to this challenge? '
Will Government Let Go? - it is one thing to put forward and support a new concept in principleand another to do so in fact, especially when this involves fundamental changes. Specifically inthis case, the transfer of full implementation responsibility to communities, the direct transfer ofdevelopment funds to the community and the restriction of Programme (WASMO) role tocoordination, monitoring and support. In the past, government departments have been reluctantto let go. The transfer of traditional Programme roles and 'ownership' to Village Communitieswill need to take place. An important part of this will be that the autonomous operational role / !provided for WASMO is fully enabled with restrictive operational and administrative procedures 'avoided.
How will NGOs Respond? - the Programme provides a supported opportunity for NGOs to workwith and facilitate in-village community managed development. They will need to work within a™neral Programme framework and follow general Programme guidelines to ensure reasonable
uformity in methodology and approach, although this need not restrict their day to day style ofoperation so long as they produce results. Will they be prepared to adjust and if necessary, adapttheir methods of working? Will they accept the accountability required - both performance andfinancial, and be able to transfer this to village community management? Will they have theexperience and capacity for the work and be able and prepared to work to agreed Action Plansand budgets? NGOs wanting to work with the Programme will have to address these questions.
Viable Programme ..S.ize and Time Frame — there is no logic to the proposed sizr of theProgramme, other than the umber of villages which happen to have been affectec by theearthquake. It is a people based programme; not engineering based with inherent technicaldeterminants of design and contract implementation. Village communities as the fundamentaloperational components of the Programme, can not be manipulated and controlled in the samemanner. Their response to the Programme will vary, with soims LIUJUMHJ* to not start ™- /frop ™rt
and others failing to meet Programme requirements and expectations. This is a reflection of the
74
.1 mix of normal human behaviour. A complementary feature will be the performance capacity of11 the Programmes facilitating organisational structure. There is little precedent experience to refer
l t o -\ For these reasons, the 1260 village size and three-year time frame for the Programme is
indicative only. The ultimate size and duration of the Programme will evolve in the light ofinitial Programme experience - hence the phasing proposed, with Phase Two considered'adjustable'. There will be particular need for good Programme preparation, quality monitoringsystems from the beginning of implementation and performance reviews at key stages. Tocompromise on these requirements will inevitably lead to implementation delays, problems andmost importantly, undermine confidence in the Programme and its objectives.
Who Will 'Own' the Programme? - the psychological ownership of the Programme, the groupwhich hccoiacs actively enthusiastic and emotional about ihs Programme, can and probably willdetennine the success (or failure) of the Programme. There are several contenders. The funders -the Netherlands Government; the facilitators - WASMO (and GOG) and supporting NGOs; themanagers - the village communities and their Pani Samiti. At this formative stage, it is observedthat there is more expression and intensity of 'ownership7 by the funders than the facilitators. Forthe Programme (and WASMO) to proceed meaningfully, this will need to change fast.
Dominant psychological ownership must be rapidly exercised by WASMO for it to be able toundertake the major responsibility of physically setting up and preparing the Programmed.WASMO will need capacity and enthusiasm. Equally however, WASMO is going to later haveto systematically transfer much of Programme 'ownership' to communities as each villagecomes into the Programme. The final dominant owners need to be with village communities. CanWASMO achieve this demanding process of 'ownership' transformation? Will villagecommunities rise to the challenge of final Programme 'ownership'? Finally but importantly, willthe funders and supporting EAS resist the temptation of the past, of assuming a share of'ownership' by doing rather than advising what to do? These are critical questions.
16.2 Constraints
There are several actual and/or potential constraints that may adversely affect the ability toestablish the Programme and its subsequent performance are observed.
Establishment and Capacity of WASMO -while waiting for WASMO to be formalised there hasbeen uncertainty and an element of indifference apparent This is in part understandable in thecircumstances. Although initiatives have been taken using external institutions to establishorganisational and procedural documentation for WASMO (and its sector role), this has onlybeen partially successful with problems of quality and interpretation of WASMO's intended roleand objects. The autonomy intended for WASMO is seen to be at risk. Internally, there has beenlittle pre-emptive effort to work at the preparation of guidelines and operational documentationthat will be necessary for WASMO's future functioning.
A specific expectation for this Programme was that it could be established and started as soon aspossible in 2002. This will be entirely dependent on the capacity of WASMO to perform incoming months. This will in turn depend on the need for WASMO to be adequately staffed interms of numbers and experience and abilities required for the work involved and theiranticipated counterpart roles to anticipated EAS personnel. Existing staffing does not meet thisrequirement The overall staffing requirements and circumstances of WASMO would benefitfrom inndepth review, including the future role of existing start It has been suggested that if thisProgrammed to go ahead, that an element of Programme focus, as the priority need would beappropriate at this stage.:
75
Government Support for WASMO - this is clearly provided in principle with the GovernmentResolution providing for the establishment of WASMO and most importantly, the clarity andfocus of the objectives stated in support of the new sector reforms. However, it is observed thatthere is some tendency for these objectives to be watered down, diluted with some loss of focusand clarity as they are interpreted for the purpose of subsequent controlling documents such asthe Memorandum of Association for WASMO currently being finalised. There is need to guardagainst this tendency.
Performance of Pipe Water Supplies - regional pipe water supply schemes will be a dominantsource of drinking water for a majority of Programme villages (in excess of 75 percent).However, the capacity of these schemes to provide a consistent and reliable supply has beenindifferent irrespective of earthquake disruption, due to some source limitations, a variety ofoperational reasons and it is understood, some design limitations. The substantial augmentationand development of this system, with ADB funded improvements about to get underway, isintended to improve the potential for supply. The availability of supply will however, still bevery dependent on operational factors. The concern is not whether the constraints of supply willbe resolved, but rather to what extent. It is anticipated that some degree of operational constraintwill continue for the foreseeable future - hence the security of in-village supply with the use ofmultiple village sources.
Uncontrolled Irrigation Abstraction of Groundwater - this is a long standing water resourceproblem that in many areas has been directly responsible for the substantial and in somesituations, massive expenditure on pipe water supplies. There are inter-sector economicarguments and related political factors. At the village level however, the reality is thatneighbouring farmers have lowered ground water levels by irrigation extraction to the extent thelocal water sources have dried up and deeper and/or more distant sources have been sought,frequently at substantial cost. This has provided these farmers with an indirect subsidy at theexpense of their own village communities and the considerable inconvenience of village women.The problem can not be readily reversed. However, the resource conservation objectives of theproposed Programme provides opportunity to limit further resource loss and even some gain, byencouraging village communities to address the issue themselves - local communitymanagement of their resources.
Panchavat Rai Institution - the Gram Panchayat represents the administration at village levelwith elected members and administrative staff and through it, the Block Panchayat at taluka leveland above, the District Panchayat. In supporting village communities, the Programme will beworking with the Panchayat system and in particular, the Gram Panchayats - both the electedmembers with their political leanings and administrative staff The first constraint is real in thatthere are no currently elected Panchayats to work with due to extended delays in havingpanchayat elections in Gujarat Elections are now planned for December 2001. The second
"rtriint i> that after elections, there is the potential for the personal and/or political agendas of. . , aea panchayat members to influence the outcome of Programme activities in individualvillages. Should such situations arise, they would have to be managed through Action Planapproval procedures and accountability monitoring systems.
Community Attitudes to Sanitation and Hygiene - these are deeply entrenched in day to day•personal and communal practice and an* not likely to change without persuasive reasoning on thepart of Programme facilitators. This is a fundamental constraint that will not be resolved duringthe course of the Programme. It is for this reason that a demonstration and 10 percent householdtarget approach is proposed The objective will be to establish an initial core of improvement,both physical and behavioural, as the basis for a move for change within the community that cansubsequently be encouraged to grow under the influence of social pressure.
76
163 Risks
These issues and constraints represent the basis of real risks that have the potential to adverselyaffect development of the Programme, its implementation progress and ability to achieve itsobjectives and benefit Programme villages. Foreseen risks together with comment on risksolution/management include:
• That past development lessons will be incompletely applied or even ignored in applying thenew approach - regular review will need to monitor for this.
• That the community will only partially accept the Programme - in part dependent on thequality of Programme (WASMO) preparation and presentation.
• That Government will not Met go' in practice or revert toward established systems andprocedures - proposed Programme Task Force to monitor and advise on this.
• That NfiOs wiJT not be willing to adapt - reject or apply persuasion as appropriate.• Programme 'ownership' - the issue must be recognised and worked at with the Programme
performance at risk if there is inappropriate 'ownership*.• That staff of the necessary experience and ability are not recruited for WASMO promptly -
Programme, (and WASMO) establishment will be seriously compromised with achievementof Programme establishment milestones at risk. In the worst case scenario, there would begrounds for not proceeding with the Programme.
• That regional pipe water supply delivery does not improve significantly or only partially so -this would emphasise the importance of establishing multiple source security with localsource rehabilitation and establishment.
• That uncontrolled irrigation abstraction of ground water continues - would emphasise theneed for communities to tackle this problem locally in that it is they who are directlysuffering.
• Panchayat interference - this is possible, if not probable in some situations. Transparencywith free information exchange throughout the community and accountable monitoring ofperformance and Programme finances need to be encouraged and applied.
• WASMO performance in support of Programme implementation is found wanting - forinstance delays in fund flow from Head Office and lack of responsiveness by theCoordination, Monitoring and Support Units to Programme and especially communityrequirements and expectations and approvals for replenishment of community funds.Programme monitoring systems and reviews would need to address causes and solutions.
• That the Programme is allowed to drift due to limited community performance - need forfirm adherence to village Action Plans, milestones and budgets and preparedness to dropvillages in favour of others that want to perform.
• That the Programme is allowed to drift due to failure to adequately provide support andfacilitation resources and services - need for adherence to agreed and approvedorganisational Action Plans and agreements. In the event of continued demonstration of poorperformance and/or capacity, to make fundamental Programme adjustments includingrestricting village coverage.
• That the Programme timetable proves to be unrealistically tight even with good applicationof required resources- be prepared to extend the timetable and budget to cover extra cost ofpersonnel time and/or reduce village coverage of the Programme to what can be realisticallymanaged.
• That disadvantaged community groups and issues such as gender and women are notincluded - be established as a condition of Village written agreement with the Programmeand if not honoured, be prepared for Programme withdrawal after full and open explanation
' to the community at large.-3 * ? ^
77
17. PROGRAMME JUSTIFICATION AND CONCLUSION
Notwithstanding the issues, constraints and risks identified, there is considered good grounds forproceeding with the proposed Programme with the proviso that the various safe guards includedare exercised. The Programme must not be allowed to proceed in the open-ended manner of somany past programmes and projects under circumstances of perpetual hope and unfulfilledpromises.
17.1 Justification
Specific reasons in support of Programme justification include:
• The Programme supports and incorporates the sector decentralisation objectives of theGovernments of India and Gujarat.
• The programme sectoral approach of sustainable development assistance of the NetherlandsGovernment is supported.
• The Programme provides opportunity to put the new decentralised approach to test on aprogramme scale, representing an important 'learning' opportunity for those involved and tothe potential benefit of the wider sector profession.
• The two-phase implementation approach proposed for the Programme avoids unrealisticinitial commitments and provides for adjustment of the Programme on the basis of Phase Oneexperience.
• Inherent community capacity for development already exists within village communities andthrough association with Gram Panchayats - the Programme can build on this withencouragement and strengthening support.
• There is demonstrated need for improved and more secure (delivery and earthquake) watersupply and sanitation systems in villages.
• Traditional water management practices and systems can be beneficially revived,rehabilitated and augmented with local demonstration of this existing.
• There is demonstrated NGO capacity in the Programme area with some NGOs activelyworking on sector topics - numbers and scope of NGO capacity is to be confirmed. —&*.
• The Programme is designed to benefit disadvantaged village groups, women and theenvironment.
• The WASMO operational concept adopted for the Programme transfers implementationdecision making and responsibility to the community with direct funding from WASMOHead Office. The risk of serious procedural delays should be much reduced and possibly,eliminated.
• The Programme provides for the GAVIM objectives for Netherlands assisted developmentfunding to be met.* There is opportunity to apply and demonstrate good decentralised governance (albeit a
change of approach).° Poverty reduction is assisted by routing development funds directly to village
communities with direct economic benefit. Additionally, household socio-economicpotential can be improved with less time lost waiting for water and from hygiene andhealth improvements.
° Gender equality is providing for by ensuring the involvement of village women in allaspects of the Programme.
° Institutional building is provided for with the establishment of WASMO and theprovision of External Advisory Support to WASMO and the other Programmesupporting and facilitating organisations.
° Improvement of the village environment is provided for with the range of in-villagewater and sanitation improvements supported by the Programme.
78
• Sustainable development is provided for and expected with village community managementas the central focus of the Programme.
• There is already provisional commitment of External Advisory Services in support ofWASMO with disciplines to be provided directly compatible with those required to supportthe establishment of the proposed Programme.
17.2 Conclusion
It is desirable that the development and learning opportunity provided by this Programme istaken up providing there is:
(1) demonstrated cnmniitment from the Government of Gujarat and support for the earlyestablishment of WASMO with provision of personnel and resources of the required quality,and
(2) the village level community management focus for the Programme is not compromised byundue attention to institutional components.
This is not to detract from the critical importance of initial concentrated effort on theestablishment and preparation phase of the Programme.
79
18. RECOMMENDATIONS
That the proposed Programme for the 'Community Managed Development of Water andSanitation in Earthquake Affected Villages of Gujarat' be implemented on the followingbasis.
Programme Approach - that the proposed two phase Action Plan be adopted with Phase OneImplementation limited to 200 villages to enable the viability and methodology of theProgramme to be demonstrated. If to continue into Phase Two Implementation, let the scope,time-frame and cost of the balance Programme be based on the demonstrated experience andreality of Phase One - capacity planning. Let these decisions be based on the findings of an in-depth performance review one year into Phase One Implementation.
This approach is however qualified by the following requirements.
• That the Programme (and WASMO) establishment milestones are realised as factualachievements.
• That effective. EAS support is made available to support the Programme (and WASMO)establishment phase and that there are suitably qualified counter part staff in place.
• That the autonomous operational status for WASMO and hence the Programme, isestablished without procedural interference from existing departments, including the GWSSB(do not repeat the Ghogha experience).
• That there is a.real shift of 'ownership' and 'commitment' to the Programme in favour ofGOG/WASMO.
• That there is demonstrated commitment by the Programme to in-village community managedimplementation of water and sanitation improvements.
The sector reform initiatives of the Government of India and the Government of Gujarat deserveto be recognised to the benefit of village communities and the sector at large. This Programmehas the potential to do that..
81
APPENDICES
Appendix 1COMMUNITY MANAGEMENT IN-VILLAGE PROCESS
Activities and TasksA: Programme Introduction and Acceptance (2 weeks duration)
Initial contact Gram Panchayat/Village Leaderscommunity meetings) - initial orientation/Program outline(what offering, general approach, requirements for community to meet)Internal discussion and reflection by community and groupsSecond community meeting - clarification, discussion, decision re ProgramPossible furtRer discussion and reflection periodThird community meeting - decision re Program
Milestone 1: Community Accepts - Program proceedsCommunity Rejects - Program moves to next village
B: Community Mobilisation and Empowerment
Village Assesment of W&S Situation. Needs and Solutions (4 weeks duration)Community meeting to identify how to proceed with the ProgrammePlanning meeting to organise a PRA based village assessment exercise(meeting with selected members of community - from all groups if possible)PRA exercise run throughout the village involving all groupsReflection and information analysis/review periodCommunity review and planning meeting to consider PRA findings(Combination of whole village and sub-group prioritised requirements)
Village Organisation and Formation of Pani Samiti (4 weeks duration)Village organisation of Pani Samiti discussed (with cmty and gram Panchayat)Period for community to reflect on and discuss membership of Pani SamitiCommunity/Gram Sabha meeting to finalise Pani Samiti membershipPani Samiti set-up formally as sub-committee of Gram PanchayatOrientation and initial training for Pani Samiti membersPani Samiti/Gram Panchayat programme bank account set up
Milestone 2: Pani Samiti Formed - Program proceedsPani Samiti not Formed - Program moves to next village
Task Outcomelnvolvedn)
Invite to learn about programMain cmty mtg (+ special groups)
Informal support from NGOCmty accept/reject Prog in village
Cmty has to decide
NGO advises; WASMO confirms
WASM0/N0ONGO/Cmty
Cmty/FWNGO/CmtyCmty/FWNGO/Cmty
Duration
1 - 2 hoursVi-1 day
1 - 2 wksV2 day1 wk'/i day
TimeWeeks
sId
2Id
(wks)I to 2
sId
22
sId
22
NGO guides the CmtyActivity plan developed
Cmty/HGOCmty/NGO
Range of PRA village outputs Cmty/NGOPRA conclusions and ideas collated Cmty/NGOActivities for Prog support prioritised Cmty/NGO
Roles identified/members nominated Cmty/FWAll community groups represented Cmty/FWPani Samiti membership agreed CmtyOfficial requirements actioned Cmty/NGOFor positions and activities Cmty/NGOLocal bank account opened Cmty
NGO advises; WASMO confirms
Vi dayI day
1 weekI week1 day#
# same day2 weeksVi day1 month?1 month (I/week)I week
Weeks 3 to 6I/2d l/2d 2Id 1 3
t 2 41 3 5Id 4 6
Weeks 7 to 10Id 4
55778
6779910
C: Village Action Plan Prepan. 4
Preparation of Village W&S Action 1hn f8 weeks duration^• ' Prioritised activities further discussed; ideas/solutions considered in more depth
; (learning period - disadvantages/advantages, technology, implementation, costs)Concentration on first 2 or 3 most important needs; more detail introducedInitial consideration as to who and how improvements will be implementedInitial decisions on operational and cost responsibilities for completed improvementsFormal Pani Samiti starts to prepare a draft action plan for improvementsDraft Village Action Plan (and budget) presented to community meetingDraft Action Plan and budget reviewed/revised re community findingsFinal Village Action Plan presented to community by Pani SamitiPossible further discussion of Plan with review and changesThird community meeting to consider Village Action Plan
Programme Approval of Village W&S Action Plan and Budget (2 weeks duration)Village Action Plan and Budget (to Prog format) presented to WASMO for approvalVillage Action Plan and Budget reviewed for approvalVillage Action Plan and Budget approved (or returned for further consideration)Possible further consideration of Action Plan/Budget by communityVillage Action Plan and Budget returned to WASMO for re-review and approvalVillage Action Plan and Budget approved (or not accepted)Initial Programme grant advance made to Pani Samiti bank account
Cmty/FW/NGO 4 weeksUnderstanding of implications
More understanding gained Cnity,lJS/NGOStart of implementation planning Cmty/1'S/NCiOOutline operational management plan Cmty/PSForm of a plan starts to emerge PS/Cmty/NGODraft Action Plan and budget Cmty/PSInformal village discussion PS Cmty/FWPlan accepted/returned for changes Cnity/l'S/NGO
PS/CntyCmty needs to decide Cmty/NGO
WASMO goes to village to receive/see PS/WASMO/NOO
WASMO consults with MGO (and PS) WASMCVNGO
Plan/Budget approved/to be reviewed WASMO/PS
PS/Cmty/NGOWASMO receives WASMO
Plan/Budget approved/returned again WASMO/PSEvidence of Programme commitment WASMO/PS
Weeks 11 to 182 2 12
2 weekssame 2 weekssame 2 weeks2 weeks1 day2 weeks'/i day1 week'A day
I day1 week1 day2 weeks1 weeklday
2222
4446688
14141416161818
Weeks 19 to 20Id 191 1 19
20
20
Milestone 3: WASMO approves Village Action Ran/Budget - Program proceeds WASMO informs Community; advises NGOWASMO dees net Approve - Program can not proceed; moves to next milage
D: Capacity Building and Work Organisation
Organisation for Implementation of W&S Improvements combined with Pani Samiti (and community! On-lhe-Job Capacity Building (5 v>ks duration)Continue on from initial orientation with practical on-the-job training and guidanceWork out how and who will implement approved improvementsPlanning the organisation and timing of implementation activitiesIdentify, locate, finally cost and arrange for required resources and materialsHow to manage funds received, expenditure and keeping of financial recordsMethods for community to monitor the progress and quality of improvementsApproach for displaying and reporting physical and financial progress of work
Capacity building extended for 50% of time already taken if requiredOrganisation for implementation still not acceptable after additional training
Community meeting to report and review result of organisation phase
Approach worked out • -Implementation plan madeSupply of resources establishedFinancial capacity establishedOpen monitoring system set-upOpen information system set-up
Complete organisation for implem.Withdraw Prog support to village
Milestone decision reported
PSWGO/CnityPS/NGO/CmtyPS/NGOPS/NGO/CmtyPS/NC5OPS/Crnty/NGOPS/Crnty/NGOWASMO
6 weeks totalWeeks 21-255 5 25
PS/NGO/CmtyWASMCVPS
3 weeks extra
Cmty/['S/WASMO/NGO 25
Milestone 4: Implementation Systems Organised and Capacity Building Successful - Implementation of Improvements ProceedsSystems only partly Organised; Capacity Building Incomplete -Implementation delayed; Further Capacity Building RequiredNot able to Organise Systems Adequately; Capacity Building Incomplete - Programme can not proceed; withdraw from \ illageNote: Balance ofgrant advance recovered from Pani Samiti
Community free to continue to do improvements with own resources should Programme support be withdrawn
Et Community Managed Implementation and Monitoring In-Village Works (46 weeks duration)(Ongoing with phased implementation of range of improvement works throughout village)
• Arrangements, agreements and contracts set-up in accordance Village Action Plan(work by community, trades people, contractors etc.; materials supply arranged)Improvemem work starts in accordance with Action Plan timetableGoinmunity members to be responsible for facilities actively involvedImprovement work continues to planned conclusionProgress and observed quality monitored semi-continuouslyReport Programme performance, status, issues and expenditure and work progressPeriodic verification of progress, quality, expenditure and solution to issuesAdvance request to Programme with accountability of performance and expenditureAdvance approved OR request returned dependent on acceptance of accountabilityAdvance forwarded to bank account following approval
Work able to start
Work startsUnderstanding & familiarisationWork progressesFeedback on progress/qualityWASMO is kept informedProg update and confirmationFormal report of prog activitiesStatement on Village performancePS Funds topped-up
PS/NGO
Workers/PSCmty membrsWorkers/PSCmty/PS/NGOPS/NGOWASMO/PS/NGOPS/NCiO/CntyWASMO
WASMO
2 wks initially
Time agreedThroughoutTime agreedSemi-continuouslyMonthly"6 weekly3 monthly2 wks after request1 wk after approval
Milestone 3: Implementation Proceeds According to Action Plan - Continues to meet need for duration of Programme and availability of fundsPerformance Accountability Unacceptable over Two Successive Quarters - Programme Support WithdrawnNote: Programme reserves the right to withdraw support if Village Action Plan not followed; can seek approval to aiffust
Community free to continue to do improvements with own resources should Programme support be withdrawn
F: Operation, Care and Use of and Expenditure on Completed Facilities/Services (6 weeks duration)
Training for those to be responsible for operation and care of facilitiesEducation on proper use of facilities and agreement on operational costs to collectWork completed, inspected and accepted (after any corrections) by communityFacility commissioned and/or community start to useExpenditure on works completed with final accountabilityCompletion statement of implementation performance and expenditure accountabilityCompletion status and success confirmed by ProgrammeContinued acceptable use and care of completed facilityRegular collection of operational costs from users as originally agreed
Ready to take on responsibilityProvides for good use of facilitiesWork on facility completedFacility functionalImplement, management completeCompletion report to WASMOCompletion report verifiedContinued good use of facilityUse of facility sustained
Weeks 26 to 71
27
44 46 71
Weeks 72 to 77
Cmty/NGO/PS Before end of worksPS/Cmty/NGO Before end of worksPS/NGO Implementation finishedPS/Cmty On completionPS/NGO Soon after completionPS/NGO/WASMoSoon after completionWASMO Next 6 weekly visitCmty/PS OngoingCmty/PS Ongoing 77
Milestone 6; Implementation Completed to Satisfaction of Community and ProgrammeCompletion not to full satisfaction - Program viability in village reviewed
NGO advises WASMO
Community Managed Development of Water and Sanitation inEarthquake Affected VtHages of Gujarat
Appendix 2A - Phase I Costs(200 Villages)
A. In-Village Costs (Pani Samitis)
1. Construction/enhancement of WS Village WorksLess 10% community contributionLess 5% salvage value of damaged pipe system
2. Revival of traditional water sources3. Sanitation initiatives' in villages4. Pani SamiB overheads5. Initial O&M costs (partial @ 10% capital cost)
B. Facilitation Costs (NGOs)
1. Salaries/benem2. Travel / Conveyance3. Training / community events4. Overheads5. Spectatistefchort term personnel6. Capital Items'
C. CMSU Operational Costs
1. Salaries/benefits2. Travel / conveyance3. Training / events4. Overheads .5. SpeciatistsfehurttemT persormet6. Capital Items
D. ESC Operational Costs
1. Salaries /benefits2. Travel /conveyance4. OverheadsOutsourced Services6. Capitaf Items
E. Repair and Reconstruction
1. Salaries /benefits2. Travel / conveyance3. Overheads'4. Vehicles (HM - RTV)7. Lflbotff- hira locdHy8. Materials for repair
Phase I Sub-total
F. Inflation, Contingency, Salary Revisions etc.
Phase I TOTAL
200 Villages @ Rs. 3.85 Lacs av.
200 Villages @ Rs. 3 lacs av.200 VHIages @ Rs. 2.& Lacs av.200 Villages @ Rs. 24000 p.a. x 1 years200 Villages @ Rs. 38500 p.a. x 1 years
(4 NGOs; 1 year 7/02 to 6/03)
8 VSU teamsRs 1.5 lakh per VSU teamRs 1.5 lakh per VSU team17.5% of salaries/benefits12.5% of satsriesrtwnefteRs. 1 lac per VSU team
(1 CMSU for 1.3 years, 4/02 to 7/03)
6 professional and 9 support staffRs 30000 per monthRs 30000 per month17.5% of salaries/benefits17.5% of salaries/benefitsRs. 20 lakh per CMSU (vehicles & Office)
(1 ESC for 1.5 years, 2/02 to 7/03)
4 professional and 6 support staffRs 50000 per month12.5% of salaries/benefits2 x Rs 40000 X 6 mthsRs.12 lakh per ESC (vehicles & Office)
(6 Repair Teams; 300 villages)
4 professional and 6 support staffRs 25000 per month10% of sataites/benefits6 x Rs 4 lakh (Phase II ESCs take over)Rs.7500x300vmagesRs.15.000x 300 villages
@ 10% p.a.
Rs Lakh
770.00-77.00-33.50600.00400.0048.0077.00
120.0012.0012.0021.0015.008.00
47.T94.684.687.177.17
20.00
28.809.003.604.80
12.00
19.809.001.0©
24.0022.5045.00
RsLakh Rs
1779.50
188.00
90.89
58.20
121.38
Crore
17.S0
1.88
0.91
0.58
1.21
21M
2.24
24.62
VMSMOBudgtt E t C j * 3/12/01 Pig*1
Community Managed Development of Water and Sanitation inEarthquake Affected Villages of Gujarat
Appendix 2B - Phase II Costs(1060 Villages}
A. In-Village Costs (Pani Samttis)
t . Construction/enhancement of W S Village WorksLess 10% community contributionLess 5% salvage value of damaged pipe system
2. Revival of traditional water sources3. Sanitation initiatives in villages4. Pani Samiti overheads5. >fH»rsf O&M costs {partial © 10% capita! coss)
B. Facilitation Costs (NGOs)
1. Salaries /benefits2. Overheads3. Travel / Conveyance4. Training / community events5. Specialists/snort term personnel6. Capital Items
C. CMSU Operational Costs
t. Salaries / benefits2. Overtieads v
3. Travel / conveyance ..4. Training / events5. Specialists/snort term personnel6. Capital Items
D. ESC Operational Costs1. Salaries/benefits2. Overtieads3. Travel / conveyance4. Outsourced Services5. Capital Items
E. Repair and Reconstruction
1. Salaries /benefits2. Overtieads3. Travel / conveyance4. Vehicles (HM - RTV)5. Labour- hire locally
6. Materials for repair
Phase II Sub-total
F. Inflation, Contingency, Salary Revisions etc.
Phase II TOTAL
T060 Villages @ Rs. 7.55 Lacs av.
1060 Villages @ Rs. 3 lacs av.t06O Villages @ Rs. 2.0 Lacs av.1060 Villages @ Rs. 24000 p.a. x 2 years1CG0 Villages © Rs. 3350u p.a. x 2 years
(9 NGOs; 2 years 8/03 to 7/05)36 VSU teams17.5% of salaries/benefitsRs 1.5 lakh per VSU teamRs 1.5 lakh per VSU teamt2.5% of salaries/benefitsRs. 1 lac per VSU team
(3 CMSU for 2 years. 8/03 to 7/05)
21 professional and 27 support staff17.5% of salaries/benefitsRs 30000 per monthRs 30000 per month17.5% of salaries/benefitsRs. 20 lakh per CMSU (vehicles & Office)
(3 ESC for 2 years, 8/03 to 7/05)
12 professional and 18 support staff12.5% of salaries/benefitsRs 50000 per month6 x Rs 40000 x 2 yearsRs.12 lakh per ESC (vehicles & Office)
Rs Lakh Rs Lakh s Crore408T.00-408.10-204.053180.002t2O.0O
508.80818.20 10093.9 100.94
TT6S.40204.12108.00108.00145.8028.00
239.4036.8621.8021.6036.6640.00
144.0014.4036.0057.6024.00
1760.3 17.60
396.3 3.96
276.0 2.76
10% p.a.
0.0 0.00
125.26
12.53
137.79